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•••• B•• I••••••••• L••

Former SEC-registered adviserPewaukee, WisconsinCRD 144987SEC 801-68368IAPD
Latest filing Feb 27, 2019
First filing on the tape Mar 22, 2012 · 14 filings
RAUM
$128M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
86%
$111M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$128M as of Feb 27, 2019
Mar 22, 2012$159M then
HNW client RAUM$45.4M as of Feb 27, 2019
Mar 27, 2018$75.1M then
State-registered IARs (5.B.3)4 as of Feb 27, 2019
Mar 22, 20120 then
Employees (5.A)7 as of Feb 27, 2019
Mar 28, 20139 then
Private funds: no history
RAUM -19% over the last fiscal year-4.9% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Feb 27, 2019; every figure names its basis
RAUM per advisor
$32.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
73derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$193,108derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-19%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
Wrap fee program
$126MreportedItem 5.I
Custody
$6.9M, 17 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
  • 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
  • Individuals$65.4M51%
  • High-net-worth individuals$45.4M35%
  • Charitable organizations$10.4M8.1%
  • Corporations and businesses$4.1M3.2%
  • Pension and profit-sharing plans$2.9M2.3%
Individual clients
248reported
HNW clients
42reported
Pension plan clients
n/areported
Charitable clients
12reported
Accounts
664reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$6.9M for 17 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••• K••••• J••• · Managing Membercontrol
    since 11/2007 · owns 75% or more
  • C••••• J••• B•••• · Member / Chief Compliance Officercontrol
    since 08/2007 · owns 5% to 10%
  • R•••• J•••• M•••• · Member / Director Of Operationscontrol
    since 11/2007 · owns 5% to 10%
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 · 726 to 664
    Mar 29, 2018 to Feb 27, 2019
  • Advisory employees · 6 to 4
    Mar 29, 2018 to Feb 27, 2019
  • Corporate clients · 5.0 to unset
    Mar 29, 2018 to Feb 27, 2019
  • HNW clients · 47 to 42
    Mar 29, 2018 to Feb 27, 2019
  • Individual clients · 272 to 248
    Mar 29, 2018 to Feb 27, 2019
  • Assets in custody · $8.7M to $6.9M
    Mar 29, 2018 to Feb 27, 2019
  • Employees · 9 to 7
    Mar 29, 2018 to Feb 27, 2019
  • Financial planning clients · 0 to unset
    Mar 29, 2018 to Feb 27, 2019
  • State-registered IARs · 6 to 4
    Mar 29, 2018 to Feb 27, 2019
  • Discretionary RAUM · $153M to $126M
    Mar 29, 2018 to Feb 27, 2019
  • HNW RAUM · $75.1M to $45.4M
    Mar 29, 2018 to Feb 27, 2019
  • Individual RAUM · $65.1M to $65.4M
    Mar 29, 2018 to Feb 27, 2019
  • Non-discretionary RAUM · $4.7M to $2.6M
    Mar 29, 2018 to Feb 27, 2019
  • Pension RAUM · $3.3M to $2.9M
    Mar 29, 2018 to Feb 27, 2019
  • RAUM · $158M to $128M
    Mar 29, 2018 to Feb 27, 2019
  • Accounts · 784 to 726
    Mar 31, 2017 to Mar 27, 2018
  • Charity clients · unset to 12.0
    Mar 31, 2017 to Mar 27, 2018
  • Corporate clients · unset to 5.0
    Mar 31, 2017 to Mar 27, 2018
  • HNW clients · unset to 47.0
    Mar 31, 2017 to Mar 27, 2018
  • Individual clients · unset to 272.0
    Mar 31, 2017 to Mar 27, 2018
  • Assets in custody · unset to 8709692.0
    Mar 31, 2017 to Mar 27, 2018
  • Custody of client assets · false to true
    Mar 31, 2017 to Mar 27, 2018
  • Financial planning clients · unset to 0
    Mar 31, 2017 to Mar 27, 2018
  • Other offices · unset to 0.0
    Mar 31, 2017 to Mar 27, 2018
  • Discretionary RAUM · $153M to $153M
    Mar 31, 2017 to Mar 27, 2018
  • HNW RAUM · unset to 75101819.0
    Mar 31, 2017 to Mar 27, 2018
  • Individual RAUM · unset to 65141176.0
    Mar 31, 2017 to Mar 27, 2018
  • Non-discretionary RAUM · $5.3M to $4.7M
    Mar 31, 2017 to Mar 27, 2018
  • Pension RAUM · unset to 3294107.0
    Mar 31, 2017 to Mar 27, 2018
  • RAUM · $158M to $158M
    Mar 31, 2017 to Mar 27, 2018
  • Wrap assets (manager) · unset to 0.0
    Mar 31, 2017 to Mar 27, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 31, 2017 to Mar 27, 2018
  • Accounts · 798 to 784
    Mar 28, 2016 to Mar 31, 2017
  • Discretionary RAUM · $146M to $153M
    Mar 28, 2016 to Mar 31, 2017
  • Non-discretionary RAUM · $2.6M to $5.3M
    Mar 28, 2016 to Mar 31, 2017
  • RAUM · $149M to $158M
    Mar 28, 2016 to Mar 31, 2017
  • Accounts · 799 to 798
    Nov 17, 2015 to Mar 28, 2016
  • Advisory activities · 2 to 3
    Nov 17, 2015 to Mar 28, 2016
  • Employees · 10 to 9
    Nov 17, 2015 to Mar 28, 2016
  • Discretionary RAUM · $160M to $146M
    Nov 17, 2015 to Mar 28, 2016
Signals
1 dated events
  • John Terry Mezera (Chief Financial Officer) no longer on Schedule A of K•••• B•• I••••••••• L•• (listed 2018-03-29, absent 2019-02-27)
    Feb 27, 2019 · Control person left · inference
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