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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Former SEC-registered adviser

K•••• P•••• C•••••• M••••••••• L••

Former SEC-registered adviserGreat Neck, New YorkCRD 137728SEC 801-64958IAPD
Latest filing Mar 24, 2022
First filing on the tape Mar 26, 2012 · 31 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$1.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.7B as of Mar 22, 2022
Mar 26, 2012$392M then
HNW client RAUM$1.6B as of Mar 22, 2022
Mar 28, 2018$736M then
State-registered IARs (5.B.3)9 as of Mar 22, 2022
Mar 26, 20120 then
Employees (5.A)17 as of Mar 22, 2022
Mar 13, 20139 then
Private funds1 as of Mar 24, 2014
Mar 26, 20121 then
RAUM +24% over the last fiscal year+29% a year over threeIARs 5 to 9
Practice profile
derived from the filing of Mar 24, 2022; every figure names its basis
RAUM per advisor
$189MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
25derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.7MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+80%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.6B96%
  • Charitable organizations$50.0M2.9%
  • Corporations and businesses$16.4M1.0%
  • Individuals$6.5M0.4%
  • Pension and profit-sharing plans$1.8M0.1%
Individual clients
15reported
HNW clients
210reported
Pension plan clients
1reported
Charitable clients
6reported
Accounts
1,334reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    M•••••• P•••• P••••••• L•no longer reportedHedge Fund$16.4M10Mar 26, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• J••••••• P••• · Manager / Chief Operating Officer / Chief Compliance Officercontrol
      since 12/2005 · owns 50% to 75%
    • S••••••• J•••• L•••• · Managercontrol
      since 02/1998 · owns 50% to 75%
    • M•••••••• J•••• A••••• I• · Member
      since 01/2019 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Brentwood, TN2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,174 to 1,334
      May 4, 2021 to Mar 22, 2022
    • Advisory employees · 7 to 9
      May 4, 2021 to Mar 22, 2022
    • Charity clients · 3 to 6
      May 4, 2021 to Mar 22, 2022
    • HNW clients · 226 to 210
      May 4, 2021 to Mar 22, 2022
    • Individual clients · 10 to 15
      May 4, 2021 to Mar 22, 2022
    • Pension plan clients · 2 to 1
      May 4, 2021 to Mar 22, 2022
    • Employees · 18 to 17
      May 4, 2021 to Mar 22, 2022
    • State-registered IARs · 5 to 9
      May 4, 2021 to Mar 22, 2022
    • Discretionary RAUM · $1.3B to $1.6B
      May 4, 2021 to Mar 22, 2022
    • HNW RAUM · $1.3B to $1.6B
      May 4, 2021 to Mar 22, 2022
    • Individual RAUM · $3.1M to $6.5M
      May 4, 2021 to Mar 22, 2022
    • Non-discretionary RAUM · $40.8M to $57.9M
      May 4, 2021 to Mar 22, 2022
    • Pension RAUM · $11.7M to $1.8M
      May 4, 2021 to Mar 22, 2022
    • RAUM · $1.4B to $1.7B
      May 4, 2021 to Mar 22, 2022
    • Accounts · 1,175 to 1,174
      Mar 23, 2021 to May 4, 2021
    • Discretionary RAUM · $1.3B to $1.3B
      Mar 23, 2021 to May 4, 2021
    • HNW RAUM · $1.3B to $1.3B
      Mar 23, 2021 to May 4, 2021
    • RAUM · $1.4B to $1.4B
      Mar 23, 2021 to May 4, 2021
    • Accounts · 1,072 to 1,175
      Aug 5, 2020 to Mar 23, 2021
    • Charity clients · 7 to 3
      Aug 5, 2020 to Mar 23, 2021
    • Corporate clients · 4 to 7
      Aug 5, 2020 to Mar 23, 2021
    • HNW clients · 217 to 226
      Aug 5, 2020 to Mar 23, 2021
    • Individual clients · 0 to 10
      Aug 5, 2020 to Mar 23, 2021
    • Pension plan clients · 11 to 2
      Aug 5, 2020 to Mar 23, 2021
    • Employees · 15 to 18
      Aug 5, 2020 to Mar 23, 2021
    • Discretionary RAUM · $1.1B to $1.3B
      Aug 5, 2020 to Mar 23, 2021
    • HNW RAUM · $1.0B to $1.3B
      Aug 5, 2020 to Mar 23, 2021
    • Individual RAUM · unset to 3135750.0
      Aug 5, 2020 to Mar 23, 2021
    • Non-discretionary RAUM · $18.0M to $40.8M
      Aug 5, 2020 to Mar 23, 2021
    • Pension RAUM · $22.9M to $11.7M
      Aug 5, 2020 to Mar 23, 2021
    • RAUM · $1.1B to $1.4B
      Aug 5, 2020 to Mar 23, 2021
    • Accounts · 1,030 to 1,072
      Jun 19, 2020 to Aug 5, 2020
    • HNW clients · 212 to 217
      Jun 19, 2020 to Aug 5, 2020
    • Discretionary RAUM · $1.1B to $1.1B
      Jun 19, 2020 to Aug 5, 2020
    • HNW RAUM · $1.0B to $1.0B
      Jun 19, 2020 to Aug 5, 2020
    • Non-discretionary RAUM · $20.2M to $18.0M
      Jun 19, 2020 to Aug 5, 2020
    • Pension RAUM · $24.7M to $22.9M
      Jun 19, 2020 to Aug 5, 2020
    • RAUM · $1.1B to $1.1B
      Jun 19, 2020 to Aug 5, 2020
    • Accounts · 799 to 1,030
      Dec 11, 2019 to Mar 24, 2020
    • Charity clients · 8 to 7
      Dec 11, 2019 to Mar 24, 2020
    Signals
    7 dated events
    • Andres Fernandez-Salvador left Kings Point Capital Management Llc for Wealth Enhancement Advisory Services, Llc (registered 2022-06-01)
      Jun 3, 2022 · Advisor changed firm · fact
    • Jason Douglas Beaird left Kings Point Capital Management Llc for Wealth Enhancement Advisory Services, Llc (registered 2022-06-01)
      Jun 3, 2022 · Advisor changed firm · fact
    • John A Marshall left Kings Point Capital Management Llc for Wealth Enhancement Advisory Services, Llc (registered 2022-06-01)
      Jun 3, 2022 · Advisor changed firm · fact
    • Kenneth Lynn left Kings Point Capital Management Llc for Wealth Enhancement Advisory Services, Llc (registered 2022-06-01)
      Jun 3, 2022 · Advisor changed firm · fact
    • Kings Point Capital Management LLC's advisors moved to Wealth Enhancement Advisory Services, LLC (Great Neck, NY): 3 of 4 registered, on the same day
      Jun 3, 2022 · Firm absorbed (people side) · derived
    • Kings Point Capital Management Llc reported RAUM $1.4B, up 28% from $1.1B (2020-08-05 to 2021-03-23)
      Mar 23, 2021 · RAUM change · derived
    • Kings Point Capital Management Llc reported RAUM $1.1B, up 37% from $789.1M (2019-12-11 to 2020-03-24)
      Mar 24, 2020 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda 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