DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
Y•• I••••••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 2, 2012 · 36 filings
SEC status approved since Dec 1, 2005
RAUM
$308M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$308M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$308M as of Mar 25, 2026
Mar 2, 2012$129M then
HNW client RAUM$183M as of Mar 25, 2026
Mar 29, 2018$108M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 2, 20120 then
Employees (5.A)7 as of Mar 25, 2026
Apr 1, 20133 then
Private funds: no history
RAUM +24% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $308MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 523derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $193,005derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$183M59%
- Individuals$125M41%
- Individual clients
- 418reported
- HNW clients
- 105reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,595reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••• S••••• L•• · Marketing Managercontrolsince 11/2005 · owns less than 5%
- Y••• M••••• K•• M••• · Managing Member & Chief Investment Officercontrolsince 11/2005 · owns 50% to 75%
- L••• K•••• · Chief Compliance Officer (Cco)since 02/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,650 to 1,595Mar 26, 2025 to Mar 25, 2026
- HNW clients · 79 to 105Mar 26, 2025 to Mar 25, 2026
- Individual clients · 413 to 418Mar 26, 2025 to Mar 25, 2026
- Employees · 5 to 7Mar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $239M to $286MMar 26, 2025 to Mar 25, 2026
- HNW RAUM · $139M to $183MMar 26, 2025 to Mar 25, 2026
- Individual RAUM · $109M to $125MMar 26, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $8.6M to $21.7MMar 26, 2025 to Mar 25, 2026
- RAUM · $248M to $308MMar 26, 2025 to Mar 25, 2026
- Accounts · 1,456 to 1,650Aug 28, 2024 to Mar 26, 2025
- HNW clients · 78 to 79Aug 28, 2024 to Mar 26, 2025
- Individual clients · 397 to 413Aug 28, 2024 to Mar 26, 2025
- Employees · 6 to 5Aug 28, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Aug 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $228M to $239MAug 28, 2024 to Mar 26, 2025
- HNW RAUM · $124M to $139MAug 28, 2024 to Mar 26, 2025
- Individual RAUM · $118M to $109MAug 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $14.2M to $8.6MAug 28, 2024 to Mar 26, 2025
- RAUM · $242M to $248MAug 28, 2024 to Mar 26, 2025
- Accounts · 1,422 to 1,456Feb 6, 2023 to Mar 26, 2024
- HNW clients · 116 to 78Feb 6, 2023 to Mar 26, 2024
- Individual clients · 515 to 397Feb 6, 2023 to Mar 26, 2024
- Employees · 3 to 6Feb 6, 2023 to Mar 26, 2024
- Discretionary RAUM · $182M to $228MFeb 6, 2023 to Mar 26, 2024
- HNW RAUM · $77.0M to $124MFeb 6, 2023 to Mar 26, 2024
- Individual RAUM · $105M to $118MFeb 6, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $0 to $14.2MFeb 6, 2023 to Mar 26, 2024
- RAUM · $182M to $242MFeb 6, 2023 to Mar 26, 2024
- Accounts · 1,438 to 1,422Oct 10, 2022 to Feb 6, 2023
- Individual clients · 533 to 515Oct 10, 2022 to Feb 6, 2023
- Employees · 5 to 3Oct 10, 2022 to Feb 6, 2023
- Financial planning clients · 1-10 to 0Oct 10, 2022 to Feb 6, 2023
- Discretionary RAUM · $253M to $182MOct 10, 2022 to Feb 6, 2023
- HNW RAUM · $134M to $77.0MOct 10, 2022 to Feb 6, 2023
- Individual RAUM · $119M to $105MOct 10, 2022 to Feb 6, 2023
- RAUM · $253M to $182MOct 10, 2022 to Feb 6, 2023
- Accounts · 1,789 to 1,438Mar 9, 2021 to Apr 21, 2022
- Discretionary RAUM · $249M to $253MMar 9, 2021 to Apr 21, 2022
- HNW RAUM · $181M to $134MMar 9, 2021 to Apr 21, 2022
- Individual RAUM · $75.5M to $119MMar 9, 2021 to Apr 21, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 808-955-8800reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-557-2816reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 808-955-8800reportedpublic record, Form ADV, Mar 25, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026