DFX Intelligence

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K• C•••••• M••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $107M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $107M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +22%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 12 Mar 2026, RAUM $88M to $107M (+21.5%) on the Form ADV filed 12 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 147495 · SEC 801-108472 · 19 filingsShow

CRD 147495SEC 801-108472First filing on the tape Sep 23, 2016, latest Mar 12, 2026SEC status approved since Sep 29, 2016IAPD

RAUM

$107M

reported, Item 5.F

Discretionary

96%

of RAUM

Private clients

100%

$107M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$107M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM +17% a year over three years · the tape starts Sep 23, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$107M as of Mar 12, 2026

Feb 14, 2017$37.9M then

HNW client RAUM$97.1M as of Mar 12, 2026

Jan 23, 2018$41.7M then

State-registered IARs (5.B.3)1 as of Mar 12, 2026

Feb 14, 20171 then

Employees (5.A)2 as of Mar 12, 2026

Feb 14, 20172 then

Private funds: no history

RAUM +22% over the last fiscal year+17% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 12, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 66derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $914,288derivedRAUM over accounts (5.F.2.f)
Discretionary: 96%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +22%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.8%derived
Compensation: percentage of assets, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Custody: $15.3M, 4 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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

91% high-net-worth individuals, 9.2% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$97.1M91%
Individuals$9.9M9.2%

Individual clients: 21reported
HNW clients: 45reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 117reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $15.3M for 4 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
K•••• A• O•••••••Chartered Financial Analyst	University Park, Fl	Oct 4, 2016	18 y	2

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

O•••••••• K••••• A• · Managing Member/Chief Compliance Officer/Presidentcontrol
since 05/2008 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

New York, NY1 employee
, 1 employee

What changed

consecutive filings, newest first

Accounts · 110 to 117
Feb 14, 2025 to Mar 12, 2026
HNW clients · 42 to 45
Feb 14, 2025 to Mar 12, 2026
Assets in custody · $13.7M to $15.3M
Feb 14, 2025 to Mar 12, 2026
Discretionary RAUM · $87.7M to $102M
Feb 14, 2025 to Mar 12, 2026
HNW RAUM · $80.2M to $97.1M
Feb 14, 2025 to Mar 12, 2026

Full history · 80 changes

Individual RAUM · $7.8M to $9.9M
Feb 14, 2025 to Mar 12, 2026
Non-discretionary RAUM · $296,066 to $4.6M
Feb 14, 2025 to Mar 12, 2026
RAUM · $88.0M to $107M
Feb 14, 2025 to Mar 12, 2026
Accounts · 109 to 110
Feb 20, 2024 to Feb 14, 2025
HNW clients · 43 to 42
Feb 20, 2024 to Feb 14, 2025
Individual clients · 17 to 21
Feb 20, 2024 to Feb 14, 2025
Assets in custody · $11.6M to $13.7M
Feb 20, 2024 to Feb 14, 2025
Financial planning clients · 0 to 0
Feb 20, 2024 to Feb 14, 2025
HQ city · unset to
Feb 20, 2024 to Feb 14, 2025
HQ state · unset to
Feb 20, 2024 to Feb 14, 2025
Discretionary RAUM · $79.0M to $87.7M
Feb 20, 2024 to Feb 14, 2025
HNW RAUM · $73.3M to $80.2M
Feb 20, 2024 to Feb 14, 2025
Individual RAUM · $6.2M to $7.8M
Feb 20, 2024 to Feb 14, 2025
Non-discretionary RAUM · $429,464 to $296,066
Feb 20, 2024 to Feb 14, 2025
RAUM · $79.5M to $88.0M
Feb 20, 2024 to Feb 14, 2025
Accounts · 102 to 109
Feb 15, 2023 to Jan 29, 2024
HNW clients · 40 to 43
Feb 15, 2023 to Jan 29, 2024
Individual clients · 16 to 17
Feb 15, 2023 to Jan 29, 2024
Assets in custody · $9.2M to $11.6M
Feb 15, 2023 to Jan 29, 2024
Discretionary RAUM · $64.6M to $79.0M
Feb 15, 2023 to Jan 29, 2024
HNW RAUM · $62.3M to $73.3M
Feb 15, 2023 to Jan 29, 2024
Individual RAUM · $4.2M to $6.2M
Feb 15, 2023 to Jan 29, 2024
Non-discretionary RAUM · $2.0M to $429,464
Feb 15, 2023 to Jan 29, 2024
RAUM · $66.5M to $79.5M
Feb 15, 2023 to Jan 29, 2024
Accounts · 104 to 102
Nov 3, 2022 to Feb 15, 2023
HNW clients · 42 to 40
Nov 3, 2022 to Feb 15, 2023
Individual clients · 17 to 16
Nov 3, 2022 to Feb 15, 2023
Assets in custody · $11.8M to $9.2M
Nov 3, 2022 to Feb 15, 2023
Financial planning clients · unset to 0
Nov 3, 2022 to Feb 15, 2023
Discretionary RAUM · $75.6M to $64.6M
Nov 3, 2022 to Feb 15, 2023
HNW RAUM · $72.3M to $62.3M
Nov 3, 2022 to Feb 15, 2023
Individual RAUM · $5.3M to $4.2M
Nov 3, 2022 to Feb 15, 2023
Non-discretionary RAUM · $2.0M to $2.0M
Nov 3, 2022 to Feb 15, 2023
RAUM · $77.6M to $66.5M
Nov 3, 2022 to Feb 15, 2023
Accounts · 91 to 104
Jan 26, 2021 to Jan 21, 2022
HNW clients · 40 to 42
Jan 26, 2021 to Jan 21, 2022
Individual clients · 19 to 17
Jan 26, 2021 to Jan 21, 2022
Assets in custody · $9.6M to $11.8M
Jan 26, 2021 to Jan 21, 2022
Discretionary RAUM · $63.6M to $75.6M
Jan 26, 2021 to Jan 21, 2022
HNW RAUM · $54.7M to $72.3M
Jan 26, 2021 to Jan 21, 2022
Individual RAUM · $9.0M to $5.3M
Jan 26, 2021 to Jan 21, 2022
Non-discretionary RAUM · $0 to $2.0M
Jan 26, 2021 to Jan 21, 2022
RAUM · $63.6M to $77.6M
Jan 26, 2021 to Jan 21, 2022
Accounts · 76 to 91
May 18, 2020 to Jan 26, 2021
HNW clients · 32 to 40
May 18, 2020 to Jan 26, 2021
Individual clients · 13 to 19
May 18, 2020 to Jan 26, 2021
Assets in custody · $8.0M to $9.6M
May 18, 2020 to Jan 26, 2021
Discretionary RAUM · $47.6M to $63.6M
May 18, 2020 to Jan 26, 2021
HNW RAUM · $42.9M to $54.7M
May 18, 2020 to Jan 26, 2021
Individual RAUM · $5.6M to $9.0M
May 18, 2020 to Jan 26, 2021
Non-discretionary RAUM · $817,395 to $0
May 18, 2020 to Jan 26, 2021
RAUM · $48.4M to $63.6M
May 18, 2020 to Jan 26, 2021
Accounts · 78 to 76
Jan 29, 2019 to Jan 29, 2020
HNW clients · 33 to 32
Jan 29, 2019 to Jan 29, 2020
Individual clients · 14 to 13
Jan 29, 2019 to Jan 29, 2020
Assets in custody · $6.2M to $8.0M
Jan 29, 2019 to Jan 29, 2020
Discretionary RAUM · $40.7M to $47.6M
Jan 29, 2019 to Jan 29, 2020
HNW RAUM · $37.2M to $42.9M
Jan 29, 2019 to Jan 29, 2020
Individual RAUM · $4.3M to $5.6M
Jan 29, 2019 to Jan 29, 2020
Non-discretionary RAUM · $802,734 to $817,395
Jan 29, 2019 to Jan 29, 2020
RAUM · $41.5M to $48.4M
Jan 29, 2019 to Jan 29, 2020
Accounts · 74 to 78
Jan 23, 2018 to Jan 28, 2019
HNW clients · 36 to 33
Jan 23, 2018 to Jan 28, 2019
Individual clients · 16 to 14
Jan 23, 2018 to Jan 28, 2019
Assets in custody · $8.6M to $6.2M
Jan 23, 2018 to Jan 28, 2019
Discretionary RAUM · $45.1M to $40.7M
Jan 23, 2018 to Jan 28, 2019
HNW RAUM · $41.7M to $37.2M
Jan 23, 2018 to Jan 28, 2019
Individual RAUM · $4.2M to $4.3M
Jan 23, 2018 to Jan 28, 2019
Non-discretionary RAUM · $802,695 to $802,734
Jan 23, 2018 to Jan 28, 2019
RAUM · $45.9M to $41.5M
Jan 23, 2018 to Jan 28, 2019
Accounts · 73 to 74
Feb 16, 2017 to Jan 23, 2018
HNW clients · unset to 36.0
Feb 16, 2017 to Jan 23, 2018
Individual clients · unset to 16.0
Feb 16, 2017 to Jan 23, 2018
Assets in custody · $6.7M to $8.6M
Feb 16, 2017 to Jan 23, 2018
Other offices · unset to 2.0
Feb 16, 2017 to Jan 23, 2018

Signals

2 dated events

••• Locked
Mar 12, 2026 · ria office closed · derived
••• Locked
Sep 23, 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

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $107Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026