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•••••• I••••••••• A••••••• L••
Latest filing Apr 29, 2026
First filing on the tape Feb 26, 2020 · 22 filings
SEC status approved since Apr 8, 2020
RAUM
$162M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
96%
$155M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$27.0M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$162M as of Apr 29, 2026
Mar 9, 2021$130M then
HNW client RAUM$116M as of Apr 29, 2026
Mar 9, 2021$85.5M then
State-registered IARs (5.B.3)6 as of Apr 29, 2026
Mar 9, 20210 then
Employees (5.A)6 as of Apr 29, 2026
Mar 9, 20219 then
Private funds1 as of Mar 8, 2024
Mar 9, 20211 then
RAUM +4.9% over the last fiscal year+11% a year over threeIARs 8 to 6offices 7 to 6
Practice profile
derived from the filing of Apr 29, 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
- $27.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $277,463derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.9derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $62.4M, 128 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$116M72%
- Individuals$39.2M24%
- Corporations and businesses$3.3M2.0%
- Pension and profit-sharing plans$2.5M1.5%
- Charitable organizations$1.1M0.7%
- Individual clients
- 185reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 584reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $62.4M for 128 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• D•••• V••••• | Wilmette, Il | Mar 20, 2008 | 37 y | 1 |
| D•••• L•• B•••• | Evanston, Il | Jul 19, 2017 | 10 y | 0 |
| M•••••• J•••• C•••••• | Wilmette, Il | Nov 1, 2017 | 27 y | 5 |
| R•••••• L•• M•••••• | Wilmette, Il | May 7, 2018 | 26 y | 8 |
| D••••• G••••• F••••••• | Wilmette, Il | Apr 1, 2019 | 16 y | 0 |
| E•••••••• A••• D•••• | Winter Haven, Fl | May 14, 2019 | 25 y | 8 |
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
- J•••• R••••• M••••••• to C••••••• A••••••• N••••••• L••Feb 5, 2020 · RIA to RIA
- L•• K•••••• to A••••••••• F•••••••• S•••••••• L••Dec 18, 2018 · RIA to affiliated broker-dealer or bank
- P•••• V•••••• W••••• to W••••• B•••••• A••••••• I•••Dec 12, 2017 · RIA to a state-registered adviser
- A••••• R• Z••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 26, 2016 · Other
- L••••••• M•••••• D•••• to U•••••• I••••••••• M••••••••• L•••••Sep 30, 2013 · Other
- M••• H••••• P•••••• to V••••• W••••• M•••••••• I•••Sep 3, 2008 · RIA to RIA
Joined, latest
- E•••••••• A••• D•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 14, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• R••••• M••••••• from T••• A•••• M••••••••• L••Nov 5, 2018 · Other
- R•••••• L•• M•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 7, 2018 · Other
- M•••••• J•••• C•••••• from R••••• W• B•••• • C•• I•••••••••Nov 1, 2017 · Other
- A••••• R• Z••••• from V••••• C•••••• P•••••••• L••Jan 27, 2014 · Other
- L•• K•••••• from V••••• F•••••••• M••••••••• I•••Jan 4, 2013 · Affiliated broker-dealer or bank to independent RIA
- L••••••• M•••••• D•••• from B••••• I••••••••• A••••••• L••Nov 9, 2010 · Other
- M••• H••••• P•••••• from U•• A•••••••• L••Mar 20, 2008 · Other
- W•••••• D•••• V••••• from T•• A•••••••• I•••Mar 20, 2008 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•• 2••• L•• | Private Equity Fund | $650,000 | 13 | Feb 26, 2020 |
Owners and control persons
Schedule A and B, latest filing
- V•••••• W••••••• D•••• · Ceo & Ccocontrolsince 08/2008 · owns 50% to 75%
- W••••••• A••••• D•• · Managing Membercontrolsince 08/2008 · owns 50% to 75%
- F•••••••• D•••••• G••••• · Chief Operating Officer And Chief Financial Officersince 01/2015 · 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 |
|---|---|---|---|---|---|
| Wilmette, Il | 6 | 0 | 0 | ||
| Winter Haven, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 595 to 584Jan 17, 2026 to Feb 23, 2026
- Advisory employees · 8 to 6Jan 17, 2026 to Feb 23, 2026
- Corporate clients · unset to 5.0Jan 17, 2026 to Feb 23, 2026
- HNW clients · 61 to 60Jan 17, 2026 to Feb 23, 2026
- Individual clients · 148 to 185Jan 17, 2026 to Feb 23, 2026
- Employees · 8 to 6Jan 17, 2026 to Feb 23, 2026
- State-registered IARs · 8 to 6Jan 17, 2026 to Feb 23, 2026
- Other offices · 7 to 6Jan 17, 2026 to Feb 23, 2026
- Discretionary RAUM · $140M to $146MJan 17, 2026 to Feb 23, 2026
- HNW RAUM · $109M to $116MJan 17, 2026 to Feb 23, 2026
- Individual RAUM · $39.0M to $39.2MJan 17, 2026 to Feb 23, 2026
- Non-discretionary RAUM · $14.6M to $15.7MJan 17, 2026 to Feb 23, 2026
- Pension RAUM · $2.4M to $2.5MJan 17, 2026 to Feb 23, 2026
- RAUM · $154M to $162MJan 17, 2026 to Feb 23, 2026
- Financial planning clients · 1-10 to 1-10Mar 12, 2025 to May 21, 2025
- Accounts · 605 to 595Mar 8, 2024 to Mar 12, 2025
- Advisory activities · 4 to 5Mar 8, 2024 to Mar 12, 2025
- HNW clients · 33 to 61Mar 8, 2024 to Mar 12, 2025
- Individual clients · 232 to 148Mar 8, 2024 to Mar 12, 2025
- Commission compensation · false to trueMar 8, 2024 to Mar 12, 2025
- Assets in custody · $88.4M to $62.4MMar 8, 2024 to Mar 12, 2025
- HQ city · unset to Mar 8, 2024 to Mar 12, 2025
- HQ state · unset to Mar 8, 2024 to Mar 12, 2025
- Other offices · 6 to 7Mar 8, 2024 to Mar 12, 2025
- Private funds · 1 to unsetMar 8, 2024 to Mar 12, 2025
- Discretionary RAUM · $121M to $140MMar 8, 2024 to Mar 12, 2025
- HNW RAUM · $75.3M to $109MMar 8, 2024 to Mar 12, 2025
- Individual RAUM · $56.6M to $39.0MMar 8, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $14.9M to $14.6MMar 8, 2024 to Mar 12, 2025
- Pension RAUM · $1.7M to $2.4MMar 8, 2024 to Mar 12, 2025
- RAUM · $136M to $154MMar 8, 2024 to Mar 12, 2025
- Accounts · 590 to 605Jan 4, 2024 to Mar 8, 2024
- Advisory employees · 9 to 8Jan 4, 2024 to Mar 8, 2024
- BD registered reps · 7 to 3Jan 4, 2024 to Mar 8, 2024
- HNW clients · 43 to 33Jan 4, 2024 to Mar 8, 2024
- Individual clients · 216 to 232Jan 4, 2024 to Mar 8, 2024
- Assets in custody · unset to 88375424.0Jan 4, 2024 to Mar 8, 2024
- Custody of client assets · false to trueJan 4, 2024 to Mar 8, 2024
- Employees · 9 to 8Jan 4, 2024 to Mar 8, 2024
- State-registered IARs · 9 to 8Jan 4, 2024 to Mar 8, 2024
Signals
1 dated events
- K•••••••• C•••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 26, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- K•••••••• C•••••• I••••••••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 407-472-4162reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-472-4173reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-641-9021reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- co.linkedin.com/company/kciareportedpublic record, Form ADV, Sep 18, 2026
- Website
- lcwadvisor.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-380-5300reportedpublic record, Form ADV, Apr 29, 2026
- Team page
- lcwadvisor.COM/our-teamreportedpublished 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
- $27.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026