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
F•••••• D•• S••••••••• L••
Latest filing Jun 1, 2026
First filing on the tape Dec 20, 2011 · 42 filings
SEC status approved since Jan 27, 2006
RAUM
$615M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
100%
$615M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$615M as of Jun 1, 2026
Mar 6, 2012$150M then
HNW client RAUM$537M as of Jun 1, 2026
Mar 9, 2018$169M then
State-registered IARs (5.B.3)4 as of Jun 1, 2026
Feb 12, 20133 then
Employees (5.A)8 as of Jun 1, 2026
Feb 12, 20134 then
Private funds1 as of Mar 21, 2016
Mar 6, 20121 then
RAUM +8.1% over the last fiscal year+19% a year over threeIARs 6 to 4offices 2 to 3
Practice profile
derived from the filing of Jun 1, 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
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $464,727derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $270M, 320 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$537M87%
- Individuals$77.9M13%
- Individual clients
- 251reported
- HNW clients
- 170reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,324reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $270M for 320 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• B••••• C••••••• | Greenville, Sc | Mar 24, 2006 | 36 y | 2 |
| R••• J•••• K•••••• | Houston, Tx | Mar 24, 2006 | 29 y | 2 |
| B••••• J•••••• W••• | Houston, Tx | Mar 24, 2021 | 12 y | 4 |
| W•••••• A•••••• K••• | Houston, Tx | Oct 14, 2024 | 32 y | 4 |
| C••••••• E•••••••• R•••••••Certified Financial Planner | Portland, Or | Jun 1, 2026 | 17 y | 2 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 40% of current headcount2 left over 36 months
Left, latest
- S••••• C•••••• W••• to B•••••• C••••••Sep 22, 2025 · RIA to RIA
- A••• K•••• S•••••• to B•••••• C••••••Sep 22, 2025 · RIA to RIA
- N•••••• C••••••• Y•••••••• to S••••••••• W•••••Aug 5, 2022 · RIA to RIA
- A••• D••• C••••••• to S••••••••• W•••••Aug 5, 2022 · RIA to RIA
- W•••••• B••••• K••• to O•••• A•••••••• L••Sep 16, 2021 · RIA to RIA
- T•••• M••••••• E••••••• to D••••••Oct 28, 2015 · Other
- K••• R• K••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 8, 2011 · Other
Joined, latest
- C••••••• E•••••••• R••••••• from T•••••••• P•••••••• L••Jun 1, 2026 · RIA to RIA
- W•••••• A•••••• K••• from T••••• A••••••• S•••••••• I•••Oct 14, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••••• C•••••• W••• from H•••••••• A•••••••• L••Dec 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- B••••• J•••••• W••• from C•••••••• F••••••••• I•••Mar 24, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••• D••• C••••••• from A••••••• R••••••••• S••••••••• I•••Jun 8, 2020 · Other
- T•••• M••••••• E••••••• from U•• F•••••••• S••••••• I•••May 23, 2013 · Other
- R••• J•••• K•••••• from C•••••••• G••••• M•••••• I•••Mar 24, 2006 · Other
- M•••••• B••••• C••••••• from C•••••••• G••••• M•••••• I•••Mar 24, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•••••• C••••••Sep 22, 2025 · Houston, Tx
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•• C•••••••• P•••••••• L•no longer reported | Hedge Fund | $5.5M | 12 | Mar 6, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M••••••• B••••• · Managing Membercontrolsince 03/2006 · owns 50% to 75%
- K••••••• R•••• J•••• · Managing Membercontrolsince 03/2006 · owns 50% to 75%
- W••• K•• K•• · Chief Compliance Officercontrolsince 10/2015 · owns less than 5%
Related persons
Schedule D 7.A
- A••• K•••• S••••••n
- S••••• C•••••• W•••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 4 | 1 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Pocatello, ID1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-26 and 2026-03-30; the peer median change was 0.0% (795 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 1.6% percentile
What changed
consecutive filings, newest first
- Other offices · 2 to 3Mar 30, 2026 to Jun 1, 2026
- Accounts · 1,265 to 1,324Mar 26, 2025 to Mar 30, 2026
- Advisory employees · 6 to 4Mar 26, 2025 to Mar 30, 2026
- HNW clients · 150 to 170Mar 26, 2025 to Mar 30, 2026
- Individual clients · 269 to 251Mar 26, 2025 to Mar 30, 2026
- Assets in custody · $224M to $270MMar 26, 2025 to Mar 30, 2026
- Employees · 6 to 8Mar 26, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 51-100Mar 26, 2025 to Mar 30, 2026
- State-registered IARs · 6 to 4Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $489M to $530MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $464M to $537MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $105M to $77.9MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $79.6M to $84.8MMar 26, 2025 to Mar 30, 2026
- RAUM · $569M to $615MMar 26, 2025 to Mar 30, 2026
- Accounts · 1,253 to 1,265Jul 2, 2024 to Mar 26, 2025
- Advisory employees · 4 to 6Jul 2, 2024 to Mar 26, 2025
- HNW clients · 134 to 150Jul 2, 2024 to Mar 26, 2025
- Individual clients · 268 to 269Jul 2, 2024 to Mar 26, 2025
- Assets in custody · $190M to $224MJul 2, 2024 to Mar 26, 2025
- Employees · 9 to 6Jul 2, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Jul 2, 2024 to Mar 26, 2025
- State-registered IARs · 4 to 6Jul 2, 2024 to Mar 26, 2025
- Discretionary RAUM · $364M to $489MJul 2, 2024 to Mar 26, 2025
- HNW RAUM · $341M to $464MJul 2, 2024 to Mar 26, 2025
- Individual RAUM · $81.8M to $105MJul 2, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $58.7M to $79.6MJul 2, 2024 to Mar 26, 2025
- RAUM · $423M to $569MJul 2, 2024 to Mar 26, 2025
- Assets in custody · $158M to $190MOct 18, 2023 to Mar 27, 2024
- Employees · 8 to 9Oct 18, 2023 to Mar 27, 2024
- Other offices · 1 to 2Oct 18, 2023 to Mar 27, 2024
- Discretionary RAUM · $324M to $364MOct 18, 2023 to Mar 27, 2024
- HNW RAUM · $281M to $341MOct 18, 2023 to Mar 27, 2024
- Individual RAUM · $84.3M to $81.8MOct 18, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $41.9M to $58.7MOct 18, 2023 to Mar 27, 2024
- RAUM · $365M to $423MOct 18, 2023 to Mar 27, 2024
- Accounts · 1,179 to 1,253Oct 18, 2023 to Mar 27, 2024
- Advisory activities · 3 to 2Oct 18, 2023 to Mar 27, 2024
- HNW clients · 104 to 134Oct 18, 2023 to Mar 27, 2024
- Individual clients · 281 to 268Oct 18, 2023 to Mar 27, 2024
- Accounts · 1,095 to 1,179Dec 1, 2022 to Mar 15, 2023
Signals
6 dated events
- A••• K•••• S•••••• left F•••••• D•• S••••••••• L•• for B•••••• C•••••• (registered 2025-09-02)Sep 22, 2025 · advisor f••• change · fact
- S••••• C•••••• W••• left F•••••• D•• S••••••••• L•• for B•••••• C•••••• (registered 2025-09-02)Sep 22, 2025 · advisor f••• change · fact
- 2 advisors left F•••••• D•• S••••••••• L•• (Houston, TX) for B•••••• C•••••• on the same daySep 22, 2025 · Team lift-out · derived
- F•••••• D•• S••••••••• L•• reported RAUM $569.0M, up 35% from $422.9M (2024-07-02 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- N•••••• C••••••• Y•••••••• left F•••••• D•• S••••••••• L•• for S••••••••• W••••• (registered 2023-05-03)Aug 5, 2022 · advisor f••• change · fact
- A••• D••• C••••••• left F•••••• D•• S••••••••• L•• for S••••••••• W••••• (registered 2022-09-08)Aug 5, 2022 · advisor f••• change · fact
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
- 855-731-7526reportedpublished by the firm, firm site, Sep 15, 2026
- f••• profile url
- linkedin.com/company/freedom-day-solutionsreportedpublic record, Form ADV, Sep 18, 2026
- f••• profile url
- LINKEDIN.COM/COMPANY/K••••••-&-C•••••••-CAPITAL-PARTNERS-LLCreportedpublic record, Form ADV, Sep 18, 2026
- f••• website
- H••••://KC-ROI.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-784-3878reportedpublic record, Form ADV, Jun 1, 2026
- Team page
- freedomdaysolutions.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026