DFX Intelligence
RIA Intelligence
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Latest filing Mar 25, 2026
First filing on the tape Apr 5, 2016 · 18 filings
SEC status approved since Apr 20, 2016
RAUM
$96.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$90.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$48.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$96.7M as of Mar 25, 2026
Mar 22, 2017$36.7M then
HNW client RAUM$87.5M as of Mar 25, 2026
Mar 13, 2018$43.5M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 22, 20170 then
Employees (5.A)2 as of Mar 25, 2026
Mar 22, 20172 then
Private funds: no history
RAUM +19% over the last fiscal year+8.3% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $48.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$87.5M91%
- Corporations and businesses$5.9M6.1%
- Individuals$3.2M3.3%
- Individual clients
- 4reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 47reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• C•••••••• K•••••Chartered Financial Analyst | Wilmette, Il | Nov 8, 2021 | 20 y | 1 |
| D••••• K•••••• C•••••Chartered Financial Analyst | Rye, Ny | Nov 16, 2021 | 20 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- C•••••• D•••••• K•••••• · Managing Member & Chief Compliance Officercontrolsince 01/2006 · owns 50% to 75%
- K•••••• J••••••• C•••••••• · Managing Membercontrolsince 01/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rye, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Individual clients · 5 to 4Aug 21, 2025 to Mar 25, 2026
- Other offices · 1 to 2Aug 21, 2025 to Mar 25, 2026
- Discretionary RAUM · $81.1M to $96.7MAug 21, 2025 to Mar 25, 2026
- HNW RAUM · $71.3M to $87.5MAug 21, 2025 to Mar 25, 2026
- Individual RAUM · $4.4M to $3.2MAug 21, 2025 to Mar 25, 2026
- RAUM · $81.1M to $96.7MAug 21, 2025 to Mar 25, 2026
- Accounts · 46 to 47Mar 20, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 24, 2025
- HQ city · unset to Mar 20, 2024 to Mar 24, 2025
- HQ state · unset to Mar 20, 2024 to Mar 24, 2025
- Discretionary RAUM · $72.4M to $81.1MMar 20, 2024 to Mar 24, 2025
- HNW RAUM · $64.1M to $71.3MMar 20, 2024 to Mar 24, 2025
- Individual RAUM · $4.2M to $4.4MMar 20, 2024 to Mar 24, 2025
- RAUM · $72.4M to $81.1MMar 20, 2024 to Mar 24, 2025
- Accounts · 47 to 46Sep 1, 2023 to Mar 20, 2024
- Discretionary RAUM · $76.0M to $72.4MSep 1, 2023 to Mar 20, 2024
- HNW RAUM · $68.7M to $64.1MSep 1, 2023 to Mar 20, 2024
- Individual RAUM · $3.6M to $4.2MSep 1, 2023 to Mar 20, 2024
- RAUM · $76.0M to $72.4MSep 1, 2023 to Mar 20, 2024
- Accounts · 40 to 47Mar 11, 2022 to Mar 16, 2023
- HNW clients · 30 to 34Mar 11, 2022 to Mar 16, 2023
- Discretionary RAUM · $82.8M to $76.0MMar 11, 2022 to Mar 16, 2023
- HNW RAUM · $73.8M to $68.7MMar 11, 2022 to Mar 16, 2023
- Individual RAUM · $5.1M to $3.6MMar 11, 2022 to Mar 16, 2023
- RAUM · $82.8M to $76.0MMar 11, 2022 to Mar 16, 2023
- Accounts · 33 to 40Jun 17, 2021 to Mar 11, 2022
- HNW clients · 26 to 30Jun 17, 2021 to Mar 11, 2022
- Individual clients · 1 to 5Jun 17, 2021 to Mar 11, 2022
- State-registered IARs · 0 to 2Jun 17, 2021 to Mar 11, 2022
- Discretionary RAUM · $63.0M to $82.8MJun 17, 2021 to Mar 11, 2022
- HNW RAUM · $58.9M to $73.8MJun 17, 2021 to Mar 11, 2022
- Individual RAUM · $996,488 to $5.1MJun 17, 2021 to Mar 11, 2022
- RAUM · $63.0M to $82.8MJun 17, 2021 to Mar 11, 2022
- Accounts · 37 to 33Jun 26, 2020 to Mar 30, 2021
- Discretionary RAUM · $58.7M to $63.0MJun 26, 2020 to Mar 30, 2021
- HNW RAUM · $55.0M to $58.9MJun 26, 2020 to Mar 30, 2021
- Individual RAUM · $928,820 to $996,488Jun 26, 2020 to Mar 30, 2021
- RAUM · $58.7M to $63.0MJun 26, 2020 to Mar 30, 2021
- Accounts · 32 to 37Mar 27, 2019 to Mar 19, 2020
- HNW clients · 23 to 26Mar 27, 2019 to Mar 19, 2020
Signals
1 dated events
- C• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 5, 2016 · First SEC registration · 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
- Principal office phone
- 914-588-8030reportedpublic 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
- $48.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026