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
K••• C••••••• L••
Latest filing May 14, 2026
First filing on the tape Dec 24, 2021 · 19 filings
SEC status approved since Jan 25, 2022
RAUM
$180M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
82%
$147M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.9M
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$180M as of May 14, 2026
Mar 23, 2022$112M then
HNW client RAUM$136M as of May 14, 2026
Mar 23, 2022$72.9M then
State-registered IARs (5.B.3)4 as of May 14, 2026
Mar 23, 20222 then
Employees (5.A)12 as of May 14, 2026
Mar 23, 20225 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 4 to 4offices 2 to 4
Practice profile
derived from the filing of May 14, 2026; every figure names its basis
- RAUM per advisor
- $44.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $510,449derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $134M, 92 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)
- a related person has custody of client cash (9.B.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M76%
- Pension and profit-sharing plans$28.5M16%
- Individuals$10.3M5.7%
- Charitable organizations$4.4M2.5%
- Corporations and businesses$63,5960.0%
- Individual clients
- 48reported
- HNW clients
- 48reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 352reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $134M for 92 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••••• M•••• H•••••••••Certified Financial Planner, Chartered Financial Analyst | Chapin, Sc | Apr 3, 2015 | 16 y | 1 |
| T••••• A•••••• G•••Certified Financial Planner | Chapin, Sc | Jul 3, 2024 | 26 y | 1 |
| J••••••• D•••• B•••••• | Chapin, Sc | May 22, 2025 | 10 y | 0 |
| T••••• R•• M••••••Certified Financial Planner | Chapin, Sc | Apr 27, 2026 | 12 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- A••••• S•••• F••••• to A••• W••••• M••••••••• I•••Jul 9, 2025 · Other
Joined, latest
- T••••• R•• M•••••• from L••• P••••••• P•••••••• I•••Apr 27, 2026 · RIA to RIA
- A••••• S•••• F••••• from C•• I••••••••• A•••••••• L••Sep 30, 2024 · RIA to RIA
- T••••• A•••••• G••• from M•• I•••••••• S•••••••• L••Jul 3, 2024 · Other
- K•••••••• M•••• H••••••••• from J• W••••• A•••••••• L••Apr 3, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• T•••••• A•••••• · Cco And Presidentcontrolsince 08/2007 · owns 75% or more
- S•••••• K••••••••• M•••• · Chief Investment Officercontrolsince 01/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Chapin, Sc · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC1 employees
- Greenville, SC1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Apr 20, 2026 to May 14, 2026
- Employees · 11 to 12Apr 20, 2026 to May 14, 2026
- State-registered IARs · 3 to 4Apr 20, 2026 to May 14, 2026
- Other offices · 3 to 4Feb 25, 2026 to Apr 20, 2026
- Accounts · 348 to 352Jul 14, 2025 to Feb 25, 2026
- Advisory employees · 5 to 3Jul 14, 2025 to Feb 25, 2026
- HNW clients · 46 to 48Jul 14, 2025 to Feb 25, 2026
- Individual clients · 49 to 48Jul 14, 2025 to Feb 25, 2026
- Pension plan clients · 16 to 17Jul 14, 2025 to Feb 25, 2026
- Assets in custody · $61.2M to $134MJul 14, 2025 to Feb 25, 2026
- Employees · 14 to 11Jul 14, 2025 to Feb 25, 2026
- State-registered IARs · 5 to 3Jul 14, 2025 to Feb 25, 2026
- Other offices · 2 to 3Jul 14, 2025 to Feb 25, 2026
- Discretionary RAUM · $159M to $178MJul 14, 2025 to Feb 25, 2026
- HNW RAUM · $126M to $136MJul 14, 2025 to Feb 25, 2026
- Individual RAUM · $8.9M to $10.3MJul 14, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $1.8M to $2.1MJul 14, 2025 to Feb 25, 2026
- Pension RAUM · $22.2M to $28.5MJul 14, 2025 to Feb 25, 2026
- RAUM · $161M to $180MJul 14, 2025 to Feb 25, 2026
- Advisory employees · 4 to 5Mar 19, 2025 to Jul 14, 2025
- Employees · 13 to 14Mar 19, 2025 to Jul 14, 2025
- Financial planning clients · 51-100 to 51-100Mar 19, 2025 to Jul 14, 2025
- State-registered IARs · 4 to 5Mar 19, 2025 to Jul 14, 2025
- Accounts · 352 to 348Jul 18, 2024 to Feb 21, 2025
- Advisory employees · 3 to 4Jul 18, 2024 to Feb 21, 2025
- Advisory activities · 3 to 4Jul 18, 2024 to Feb 21, 2025
- Individual clients · 50 to 49Jul 18, 2024 to Feb 21, 2025
- Pension plan clients · 23 to 16Jul 18, 2024 to Feb 21, 2025
- Assets in custody · $89.5M to $61.2MJul 18, 2024 to Feb 21, 2025
- Employees · 11 to 13Jul 18, 2024 to Feb 21, 2025
- State-registered IARs · 3 to 4Jul 18, 2024 to Feb 21, 2025
- Discretionary RAUM · $142M to $159MJul 18, 2024 to Feb 21, 2025
- HNW RAUM · $106M to $126MJul 18, 2024 to Feb 21, 2025
- Individual RAUM · $8.3M to $8.9MJul 18, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $2.0M to $1.8MJul 18, 2024 to Feb 21, 2025
- Pension RAUM · $26.4M to $22.2MJul 18, 2024 to Feb 21, 2025
- RAUM · $144M to $161MJul 18, 2024 to Feb 21, 2025
- Accounts · 339 to 352Oct 18, 2023 to Feb 15, 2024
- Advisory employees · 4 to 3Oct 18, 2023 to Feb 15, 2024
- HNW clients · 40 to 46Oct 18, 2023 to Feb 15, 2024
Signals
4 dated events
- A••••• S•••• F••••• left K••• C••••••• L•• for A••• W••••• M••••••••• I••• (registered 2025-07-22)Jul 9, 2025 · Advisor changed firm · fact
- K••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 8, 2022 · Succession (Item 4) · fact
- Marie Katherine Stokes (Chief Investment Officer) appeared on Schedule A of K••• C••••••• L••Mar 23, 2022 · Control person joined · fact
- C••• A•••••••• L••• filed its initial SEC registration (Form ADV)Dec 24, 2021 · 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
- Business phone
- 803-941-4444reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/56452305reportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/keencapitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- k•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 803-941-4444reportedpublic record, Form ADV, May 14, 2026
- Contact form
- k•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $44.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026