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•• G•••• M••••••••• I•••
Latest filing May 18, 2026
First filing on the tape Feb 14, 2019 · 16 filings
SEC status approved since Apr 1, 2019
RAUM
$304M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$300M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$38.0M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$304M as of May 18, 2026
Feb 5, 2020$131M then
HNW client RAUM$249M as of May 18, 2026
Feb 5, 2020$99.2M then
State-registered IARs (5.B.3)5 as of May 18, 2026
Feb 5, 20204 then
Employees (5.A)5 as of May 18, 2026
Feb 5, 20205 then
Private funds: no history
RAUM +29% over the last fiscal year+16% a year over threeIARs 4 to 5
Practice profile
derived from the filing of May 18, 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
- $38.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $901,484derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- 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$249M82%
- Individuals$50.8M17%
- Charitable organizations$3.0M1.0%
- Pension and profit-sharing plans$1.0M0.3%
- Individual clients
- 250reported
- HNW clients
- 85reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 337reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• B•••• M•••••Certified Financial Planner, Chartered Financial Consultant | Fountain Hills, Az | May 7, 2008 | 37 y | 1 |
| C•••• H•••• | Ramsey, Nj | May 14, 2008 | 35 y | 1 |
| T•••••• M••• C••••• | Ramsey, Nj | Jan 21, 2009 | 36 y | 2 |
| R• A•••••• C••••••• | Fountain Hills, Az | Aug 30, 2016 | 40 y | 4 |
| M•••••• S•••• M••••• | Fountain Hills, Az | Mar 15, 2024 | 38 y | 1 |
| K••• M• H•••• | Fountain Hills, Az | Feb 9, 2026 | 12 y | 0 |
| B•••••• H• H•••• | Fountain Hills, Az | Feb 9, 2026 | 13 y | 0 |
| S•••••• S••••• | Kennett Square, Pa | May 8, 2026 | 14 y | 3 |
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 headcount0 left over 36 months
Left, latest
- G••• C•••• M•••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jun 10, 2016 · Other
- R• A•••••• C••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Apr 1, 2013 · Other
- N••• R••••• S•••••• to A••••••• P••••••••• A•••••••• I••Jun 1, 2010 · Other
Joined, latest
- S•••••• S••••• from A•••••• A••••••• S•••••••May 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• S•••• M••••• from C•••••••• F•••••••• G•••• A•••••••Mar 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- R• A•••••• C••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Aug 30, 2016 · Other
- G••• C•••• M•••••• from O•••• W•••••• I•••Jan 21, 2009 · Other
- T•••••• M••• C••••• from O•••• W•••••• I•••Jan 21, 2009 · Other
- N••• R••••• S•••••• from O•••• W•••••• I•••Jan 15, 2009 · Other
- R• A•••••• C••••••• from O•••• W•••••• I•••Jan 15, 2009 · Other
- C•••• H•••• from O•••• W•••••• I•••May 14, 2008 · Other
- P•••••• B•••• M••••• from O•••• W•••••• I•••May 7, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C••••• P•••••• · Vice Presidentcontrolsince 12/2007 · owns 50% to 75%
- M•••••• P••••••• B•••• · President And Chief Compliance Officercontrolsince 12/2007 · 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 |
|---|---|---|---|---|---|
| Fountain Hills, Az · principal | 5 | 2 | 0 | ||
| Ramsey, Nj | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ramsay, NJ4 employees
- S••••Sdale, AZ1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing May 18, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- account count collapseChange between filings · filing Mar 4, 2026accounts (Item 5.F.2.f) moved from 600.0 to 337.0 (-44.0%) between the annual amendments of 2025-01-24 and 2026-03-04; the peer median change was +5.0% (3686 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 3.5% percentile
What changed
consecutive filings, newest first
- Accounts · 600 to 337Nov 12, 2025 to Jan 15, 2026
- Advisory employees · 4 to 5Nov 12, 2025 to Jan 15, 2026
- Charity clients · unset to 1.0Nov 12, 2025 to Jan 15, 2026
- HNW clients · 105 to 85Nov 12, 2025 to Jan 15, 2026
- Individual clients · 255 to 250Nov 12, 2025 to Jan 15, 2026
- Pension plan clients · unset to 1.0Nov 12, 2025 to Jan 15, 2026
- Insurance-licensed employees · 4 to 0Nov 12, 2025 to Jan 15, 2026
- State-registered IARs · 4 to 5Nov 12, 2025 to Jan 15, 2026
- HNW RAUM · $200M to $249MNov 12, 2025 to Jan 15, 2026
- Individual RAUM · $35.0M to $50.8MNov 12, 2025 to Jan 15, 2026
- Non-discretionary RAUM · $235M to $304MNov 12, 2025 to Jan 15, 2026
- Pension RAUM · unset to 1000000.0Nov 12, 2025 to Jan 15, 2026
- RAUM · $235M to $304MNov 12, 2025 to Jan 15, 2026
- Financial planning clients · 0 to 0Jan 24, 2025 to Nov 12, 2025
- Accounts · 350 to 600Nov 11, 2024 to Jan 24, 2025
- HNW clients · 75 to 105Nov 11, 2024 to Jan 24, 2025
- Individual clients · 275 to 255Nov 11, 2024 to Jan 24, 2025
- HNW RAUM · $110M to $200MNov 11, 2024 to Jan 24, 2025
- Individual RAUM · $100M to $35.0MNov 11, 2024 to Jan 24, 2025
- Non-discretionary RAUM · $210M to $235MNov 11, 2024 to Jan 24, 2025
- RAUM · $210M to $235MNov 11, 2024 to Jan 24, 2025
- Accounts · 250 to 350Nov 2, 2023 to Mar 8, 2024
- HNW clients · 50 to 75Nov 2, 2023 to Mar 8, 2024
- Individual clients · 150 to 275Nov 2, 2023 to Mar 8, 2024
- HNW RAUM · $145M to $110MNov 2, 2023 to Mar 8, 2024
- Individual RAUM · $50.0M to $100MNov 2, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $195M to $210MNov 2, 2023 to Mar 8, 2024
- RAUM · $195M to $210MNov 2, 2023 to Mar 8, 2024
- Accounts · 425 to 250Mar 10, 2022 to Feb 24, 2023
- HNW clients · 49 to 50Mar 10, 2022 to Feb 24, 2023
- Individual clients · 116 to 150Mar 10, 2022 to Feb 24, 2023
- HQ city · S••••SDALE to FOUNTAIN HILLSMar 10, 2022 to Feb 24, 2023
- Other offices · 1 to 2Mar 10, 2022 to Feb 24, 2023
- HNW RAUM · $130M to $145MMar 10, 2022 to Feb 24, 2023
- Individual RAUM · $53.6M to $50.0MMar 10, 2022 to Feb 24, 2023
- Non-discretionary RAUM · $183M to $195MMar 10, 2022 to Feb 24, 2023
- RAUM · $183M to $195MMar 10, 2022 to Feb 24, 2023
- Accounts · 402 to 425Mar 11, 2021 to Mar 10, 2022
- Advisory activities · 3 to 2Mar 11, 2021 to Mar 10, 2022
- BD registered reps · 4 to 5Mar 11, 2021 to Mar 10, 2022
Signals
1 dated events
- K•• G•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 14, 2019 · 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
- Website
- w••.k•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 480-477-5252reportedpublic record, Form ADV, May 18, 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
- $38.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026