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•••••••• W••••• M••••••••• L••
Latest filing Jul 29, 2026
First filing on the tape Feb 6, 2014 · 105 filings
SEC status approved since Feb 24, 2014
RAUM
$9.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$8.5B individuals and HNW
Advisors
116
registered through the firm on IAPD
RAUM per advisor
$77.2M
derived; firm RAUM over IAPD count
Employees
285
95 advisory (5.B.1)
Offices
46
beyond the principal office
Private funds
0
reported on Schedule D
History
105 filings and snapshots on the tape
RAUM$9.0B as of Jul 29, 2026
Mar 31, 2015$78.8M then
HNW client RAUM$3.0B as of Jul 29, 2026
Mar 28, 2018$262M then
State-registered IARs (5.B.3)95 as of Jul 29, 2026
Mar 31, 201525 then
Employees (5.A)285 as of Jul 29, 2026
Mar 31, 201525 then
Private funds: no history
RAUM +33% over the last fiscal year+36% a year over threeIARs 95 to 95
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- RAUM per advisor
- $77.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $280,506derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.5derived47 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$5.5B62%
- High-net-worth individuals$3.0B34%
- Charitable organizations$260M2.9%
- Corporations and businesses$124M1.4%
- Investment companies$25.9M0.3%
- Pension and profit-sharing plans$9.0M0.1%
- State and municipal entities$244,5560.0%
- Individual clients
- 9,934reported
- HNW clients
- 2,209reported
- Pension plan clients
- 14reported
- Charitable clients
- 18reported
- Accounts
- 31,932reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
116 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• G••• E•••• | Chicago, Il | Aug 6, 2012 | 15 y | 0 |
| J••••• E• S••••••• | Maryville, Tn | Jul 18, 2014 | 26 y | 2 |
| T•••• L•• M••••• | Plantation, Fl | May 8, 2015 | 32 y | 0 |
| J••• R••••••• | Burr Ridge, Il | Oct 22, 2015 | 18 y | 3 |
| J•• T•••••• V••••••••• | Toledo, Oh | Feb 5, 2016 | 17 y | 1 |
| S•••• D•••• M••••• | Chicago, Il | Jun 10, 2016 | 25 y | 6 |
| B••••••• J••• O•• | Grants Pass, Or | Mar 6, 2017 | 16 y | 1 |
| J••• W•••• F••••• | Grants Pass, Or | Jun 14, 2017 | 15 y | 1 |
| T••• A•••• C••••••••• | Grants Pass, Or | Jul 12, 2017 | 26 y | 1 |
| P•••• S••••• H•••• | Grants Pass, Or | Nov 29, 2017 | 16 y | 1 |
| Z••• C•••••• C•••••••• | Waco, Tx | Jan 15, 2018 | 16 y | 2 |
| J••••• H••••• C•••• | Wilmington, De | Jun 21, 2018 | 18 y | 1 |
| E••• S•••• S••••Certified Financial Planner | Grants Pass, Or | Jul 12, 2018 | 18 y | 1 |
| J••••• V•••••••• S••• | Grants Pass, Or | Aug 3, 2018 | 19 y | 3 |
| A•• L•• G••••••Certified Financial Planner | Grants Pass, Or | Sep 13, 2018 | 16 y | 1 |
| M•••••• G••• K•••••••• | Grants Pass, Or | Nov 8, 2018 | 30 y | 6 |
| T•••••• P••••• L•• | Grand Junction, Co | Nov 29, 2018 | 22 y | 2 |
| M•••••• J••• S••••• | Grants Pass, Or | Jan 16, 2019 | 20 y | 3 |
| I•• A••••• M•••••• | Melville, Ny | Jan 17, 2019 | 28 y | 3 |
| J••••••• I•• M•••••• | Grants Pass, Or | Jan 17, 2019 | 29 y | 3 |
| R••••• R•• R••••••• | Grants Pass, Or | Feb 1, 2019 | 21 y | 3 |
| J••••••• S••• L••••• | Soquel, Ca | Feb 22, 2019 | 27 y | 4 |
| J•• W•••••• F•••• | Crestview, Fl | Aug 8, 2019 | 18 y | 4 |
| T••• J••••• L••••• | Grants Pass, Or | Sep 19, 2019 | 32 y | 1 |
| R•••••• K••• P••••• | Greensboro, Nc | Oct 24, 2019 | 24 y | 3 |
| A••••• H•••••• T••••• | Grants Pass, Or | Nov 6, 2019 | 25 y | 1 |
| E•••• B•••• F••••• | Myrtle Beach, Sc | Dec 3, 2019 | 39 y | 3 |
| D•••• H••••• H••••• | Grants Pass, Or | Dec 7, 2019 | 30 y | 1 |
| D••••• W• D••••••• | Grants Pass, Or | Dec 13, 2019 | 40 y | 3 |
| B••• D••••••• | Fort Wayne, In | Dec 13, 2019 | 33 y | 2 |
| L•••• A••• R••• | Grants Pass, Or | Dec 13, 2019 | 26 y | 2 |
| C•••• O•••Certified Financial Planner, Chartered Financial Consultant | Seattle, Wa | Feb 14, 2020 | 19 y | 4 |
| K••••• L• C••••••••• | Myrtle Beach, Sc | Mar 24, 2020 | 27 y | 2 |
| J••••• A••• K••••••• | Lebanon, In | Apr 9, 2020 | 22 y | 2 |
| J•••• M•••••• B•••• | Grants Pass, Or | Jul 10, 2020 | 11 y | 0 |
| M•••••• J••• E••••••• | Grants Pass, Or | Aug 21, 2020 | 15 y | 2 |
| A•••• D•• | Braselton, Ga | Sep 23, 2020 | 15 y | 1 |
| R••••• B•••• N•••••• | Myrtle Beach, Sc | Dec 14, 2020 | 33 y | 2 |
| B••••• C••••• L••• | Grants Pass, Or | Jan 15, 2021 | 22 y | 2 |
| C•••••• F••••••• B••••• | Grants Pass, Or | Feb 5, 2021 | 26 y | 1 |
Advisor movement
6 left, 19 joined in 12 months
net +13 in 12 months0 left in 90 days3 joined in 90 daysdeparture rate 5.2% of current headcount9 left over 36 months
Left, latest
- W•••••• A••••• K•••••• to K•••••• A•••• M•••••••••May 18, 2026 · RIA to RIA
- M•••• A••••• V••••••• to V••••••• W••••• M•••••••••May 14, 2026 · RIA to a newly registered adviser
- L••••••• R•••••• M••••• to L•• F•••••••• L••Mar 17, 2026 · RIA to affiliated broker-dealer or bank
- R••••• L••••••• P••••• to L•• F•••••••• L••Mar 17, 2026 · RIA to affiliated broker-dealer or bank
- M••• C•••••• W•••••••• to I• F•••••••• A••••••• S••••••• L••Feb 13, 2026 · RIA to RIA
- J•••••• C•••••••• to E••••• J••••Jan 20, 2026 · RIA to affiliated broker-dealer or bank
- D••••••• P••••• M••••••••• to C••••••••• I••••••••• A•••••••• L••Sep 2, 2025 · RIA to RIA
- R•••••• M••• H••••• to D••••••••• F••• A••••••• L•Nov 11, 2024 · Other
- N•••••• K•• R••••• to B•••••••••May 17, 2024 · RIA to RIA
- P••• J••••• N•••• to M••••• • S••••••Feb 10, 2023 · RIA to RIA
- P••••••• P••••• to A••••• W••••• M•••••••••Sep 22, 2022 · RIA to a state-registered adviser
- T•••••• J••••• L•• to O••••• F•••••••• G••••• L••Sep 12, 2022 · RIA to RIA
- J••••• D• C•••• to B• R•••• W••••• M•••••••••Sep 11, 2020 · RIA to affiliated broker-dealer or bank
- R•••••• D•••• L••••• to S••••••• I••••••••• A•••••••Jun 16, 2020 · RIA to RIA
- M•••••• M•••••• D••••• to A••••••••• F•••••••• S•••••••• L••Oct 1, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- T••••• D•••• R••••••• from E••••• J••••Aug 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- E•••••••• A•• G••• from E••••• J••••Jul 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- K••••••••• D•••• K•••••• from E••••• J••••Jun 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- T••••• T•••••• B••••• J• from E••••• J••••Jun 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- S•••• M• J•••••• from E••••• J••••Apr 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- N••••• M•••• from E••••• J••••Apr 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- G•••• A••• T•••••• from E••••• J••••Apr 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••••• J•••• B••••• from E••••• J••••Apr 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• A••• C••• from E••••• J••••Apr 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• T••••• B••••••••• from E••••• J••••Mar 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- C•••• F•••••• W••• from E••••• J••••Feb 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••••• L••• S•••••• from E••••• J••••Jan 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• L•• G••••••••• from E••••• J••••Jan 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- G•••••• L•••• L••••••••• from E••••• J••••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••••• T••••• L•••• from E••••• J••••Dec 5, 2025 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for T••••• W••••• M••••••••• P•••Jan 31, 2019 · Sun City, Az
- 2 left for S••••••••• W••••• P••••••• L••Dec 4, 2017 · Cary, Il
- 2 left for T•• C•••••• M•••••••••Mar 15, 2017 · Laguna Beach, Ca
- 2 joined from E••••• J••••Apr 27, 2026 · Nashville, Tn
- 4 joined from E••••• J••••Apr 13, 2026 · Alma, Mi
- 2 joined from E••••• J••••Sep 29, 2025 · Midland, Mi
- 2 joined from E••••• J••••Aug 11, 2025 · Powell, Oh
- 2 joined from E••••• J••••Mar 3, 2025 · Marysville, Oh
- 2 joined from E••••• J••••Aug 26, 2024 · Alton, Il
- 2 joined from E••••• J••••Jul 5, 2024 · Utica, Mi
- 3 joined from E••••• J••••Apr 8, 2024 · Greensboro, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••• M••••••• · President, Chief Financial Officercontrolsince 01/2026 · owns less than 5%
- H••••• M••••• D••• · Chief Operations Officercontrolsince 07/2021 · owns less than 5%
- M•••••• S••••• D•••• · Chief Investment Officercontrolsince 03/2018 · owns less than 5%
- M••••••••• S•••• P•••••• · Chief Executive Officercontrolsince 08/2016 · owns 5% to 10%
- P••••••••• N•••• R•• · Chief Investment Officercontrolsince 06/2026 · owns less than 5%
- S•••••• M••••••• J••• · Chief Compliance Officer, Kwmcontrolsince 01/2021 · owns less than 5%
- S••••••• K••••• W• · K•••••••• Investment Management - Compliance Directorcontrolsince 01/2021 · owns less than 5%
- M••••••••• S•••• P•••••• · Trusteecontrolsince 12/2017 · owns F of 2••• L•••• F••••• T••••
Entity owners
- K•••••••• P••••••• · Ownerdirect · owns 75% or more
- 2••• L•••• F••••• T•••• · Ownerindirect · owns 75% or more of P•••••• I••••••••• L••
- P•••••• I••••••••• L•• · Ownerindirect · owns 25% to 50% of K•••••••• P•••••••
Related persons
Schedule D 7.A
- K•••••••• S•••••••• T•• C•••••••••insurancey
- K•••••••• T•••• A•• I•••••••• S•••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Grants Pass, Or · principal | 102 | 21 | 4 | ||
| Greensboro, Nc | 6 | 0 | 0 | ||
| Chicago, Il | 6 | 0 | 0 | ||
| Fort W••••, In | 4 | 0 | 0 | ||
| Falls Church, Va | 4 | 0 | 0 | ||
| Powell, Oh | 3 | 0 | 0 | ||
| Wyomissing, Pa | 3 | 1 | 0 | ||
| Amarillo, Tx | 3 | 0 | 0 | ||
| Eureka, Ca | 3 | 0 | 0 | ||
| Mecosta, Mi | 3 | 3 | 0 | ||
| Melville, Ny | 3 | 0 | 0 | ||
| Myrtle Beach, Sc | 3 | 0 | 1 | 1 | |
| Casper, Wy | 2 | 0 | 0 | ||
| College Station, Tx | 2 | 0 | 0 | ||
| Mt Carmel, Il | 2 | 0 | 0 | ||
| Seattle, Wa | 2 | 0 | 0 | ||
| Mountain Home, Ar | 2 | 1 | 0 | ||
| Blacksburg, Va | 2 | 1 | 0 | ||
| Braselton, Ga | 2 | 0 | 0 | ||
| B•••Alo Grove, Il | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL5 employees
- Myrtle Beach, SC4 employees
- Fort W••••, IN3 employees
- Amarillo, TX3 employees
- Woodbury, NY2 employees
- Casper, WY2 employees
- Greensboro, NC2 employees
- Alpharetta, GA2 employees
- Noblesville, IN2 employees
- Pasadena, CA2 employees
- C•••Ds Ford, PA2 employees
- Mountain View, CA1 employees
- Toledo, OH1 employees
- New York, NY1 employees
- Waco, TX1 employees
- Paris, TN1 employees
- Wilmington, DE1 employees
- Plantation, FL1 employees
- San Marcos, CA1 employees
- C••••••Ton, SC1 employees
- Soquel, CA1 employees
- Cincinnati, OH1 employees
- Suwanee, GA1 employees
- Hammonton, NJ1 employees
- Lindenhurst, NY1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 29, 2026B••••••• J•••• M••••••• (PRESIDENT, CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2023-03-30 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 29, 2026P••••••••• N•••• R•• (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2023-03-30 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 29, 2026M•••••• S••••• D•••• (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2023-03-30 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 29, 2026H••••• M••••• D••• (CHIEF OPERATIONS OFFICER) left Schedule A between the filings of 2023-03-30 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 63.0% to 34.0% between the annual amendments of 2025-02-28 and 2026-03-30peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 24,847 to 31,932Feb 28, 2025 to Mar 30, 2026
- Charity clients · 11 to 18Feb 28, 2025 to Mar 30, 2026
- Corporate clients · 66 to 127Feb 28, 2025 to Mar 30, 2026
- HNW clients · 1,774 to 2,209Feb 28, 2025 to Mar 30, 2026
- Individual clients · 8,191 to 9,934Feb 28, 2025 to Mar 30, 2026
- Pension plan clients · unset to 14.0Feb 28, 2025 to Mar 30, 2026
- Employees · 225 to 285Feb 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $6.6B to $8.9BFeb 28, 2025 to Mar 30, 2026
- HNW RAUM · $4.3B to $3.0BFeb 28, 2025 to Mar 30, 2026
- Individual RAUM · $2.1B to $5.5BFeb 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $127M to $15.1MFeb 28, 2025 to Mar 30, 2026
- Pension RAUM · $3.1M to $9.0MFeb 28, 2025 to Mar 30, 2026
- RAUM · $6.7B to $9.0BFeb 28, 2025 to Mar 30, 2026
- Wrap assets (manager) · 69960.0 to unsetFeb 28, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · 0.0 to unsetFeb 28, 2025 to Mar 30, 2026
- Accounts · 18,332 to 24,847Aug 15, 2024 to Feb 28, 2025
- Advisory employees · 85 to 95Aug 15, 2024 to Feb 28, 2025
- BD registered reps · 4 to 5Aug 15, 2024 to Feb 28, 2025
- Charity clients · 13 to 11Aug 15, 2024 to Feb 28, 2025
- Corporate clients · 25 to 66Aug 15, 2024 to Feb 28, 2025
- HNW clients · 863 to 1,774Aug 15, 2024 to Feb 28, 2025
- Individual clients · 6,971 to 8,191Aug 15, 2024 to Feb 28, 2025
- Employees · 190 to 225Aug 15, 2024 to Feb 28, 2025
- Financial planning clients · 251-500 to 251-500Aug 15, 2024 to Feb 28, 2025
- State-registered IARs · 85 to 95Aug 15, 2024 to Feb 28, 2025
- Discretionary RAUM · $4.8B to $6.6BAug 15, 2024 to Feb 28, 2025
- HNW RAUM · $2.3B to $4.3BAug 15, 2024 to Feb 28, 2025
- Individual RAUM · $2.3B to $2.1BAug 15, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $18.0M to $127MAug 15, 2024 to Feb 28, 2025
- Pension RAUM · $2.1M to $3.1MAug 15, 2024 to Feb 28, 2025
- RAUM · $4.8B to $6.7BAug 15, 2024 to Feb 28, 2025
- Wrap assets (manager) · $189,848 to $69,960Aug 15, 2024 to Feb 28, 2025
- Accounts · 13,829 to 18,332Jan 25, 2024 to Mar 28, 2024
- Advisory employees · 70 to 85Jan 25, 2024 to Mar 28, 2024
- Charity clients · 8 to 13Jan 25, 2024 to Mar 28, 2024
- Corporate clients · 15 to 25Jan 25, 2024 to Mar 28, 2024
- HNW clients · 639 to 863Jan 25, 2024 to Mar 28, 2024
- Individual clients · 5,479 to 6,971Jan 25, 2024 to Mar 28, 2024
- Employees · 150 to 190Jan 25, 2024 to Mar 28, 2024
- Insurance-licensed employees · 1 to 0Jan 25, 2024 to Mar 28, 2024
Signals
41 dated events
- W•••••• A••••• K•••••• left K•••••••• W••••• M••••••••• L•• for K•••••• A•••• M••••••••• (registered 2026-09-10)May 18, 2026 · Advisor changed firm · fact
- M•••• A••••• V••••••• left K•••••••• W••••• M••••••••• L•• for V••••••• W••••• M••••••••• (registered 2026-06-18)May 14, 2026 · Advisor changed firm · fact
- 2 advisors left E••••• J•••• (Nashville, TN) for K•••••••• W••••• M••••••••• L•• on the same dayApr 27, 2026 · Team lift-out · derived
- 4 advisors left E••••• J•••• (Alma, MI) for K•••••••• W••••• M••••••••• L•• within 2 daysApr 13, 2026 · Team lift-out · derived
- K•••••••• W••••• M••••••••• L•• reported RAUM $9.0B, up 33% from $6.7B (2025-02-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- R••••• L••••••• P••••• left K•••••••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2026-03-16)Mar 17, 2026 · Advisor changed firm · fact
- L••••••• R•••••• M••••• left K•••••••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2026-03-21)Mar 17, 2026 · Advisor changed firm · fact
- M••• C•••••• W•••••••• left K•••••••• W••••• M••••••••• L•• for I• F•••••••• A••••••• S••••••• L•• (registered 2025-12-23)Feb 13, 2026 · Advisor changed firm · fact
- J•••••• C•••••••• left K•••••••• W••••• M••••••••• L•• for E••••• J•••• (registered 2026-01-16)Jan 20, 2026 · Advisor changed firm · fact
- 2 advisors left E••••• J•••• (Midland, MI) for K•••••••• W••••• M••••••••• L•• on the same daySep 29, 2025 · Team lift-out · derived
- D••••••• P••••• M••••••••• left K•••••••• W••••• M••••••••• L•• for C••••••••• I••••••••• A•••••••• L•• (registered 2025-08-01)Sep 2, 2025 · Advisor changed firm · fact
- 2 advisors left E••••• J•••• (Powell, OH) for K•••••••• W••••• M••••••••• L•• a day apartAug 11, 2025 · Team lift-out · derived
- 2 advisors left E••••• J•••• (Marysville, OH) for K•••••••• W••••• M••••••••• L•• on the same dayMar 3, 2025 · Team lift-out · derived
- K•••••••• W••••• M••••••••• L•• reported RAUM $6.7B, up 39% from $4.8B (2024-08-15 to 2025-02-28)Feb 28, 2025 · RAUM change · derived
- R•••••• M••• H••••• left K•••••••• W••••• M••••••••• L•• for D••••••••• F••• A••••••• L• (registered 2024-11-14)Nov 11, 2024 · Advisor changed firm · fact
- 2 advisors left E••••• J•••• (Alton, IL) for K•••••••• W••••• M••••••••• L•• on the same dayAug 26, 2024 · Team lift-out · derived
- 2 advisors left E••••• J•••• (Utica, MI) for K•••••••• W••••• M••••••••• L•• on the same dayJul 5, 2024 · Team lift-out · derived
- N•••••• K•• R••••• left K•••••••• W••••• M••••••••• L•• for Betterment (registered 2024-06-12)May 17, 2024 · Advisor changed firm · fact
- 3 advisors left E••••• J•••• (Greensboro, NC) for K•••••••• W••••• M••••••••• L•• within 4 daysApr 8, 2024 · Team lift-out · derived
- K•••••••• W••••• M••••••••• L•• reported 46 offices beyond its principal office, up from 27 (2024-01-25 to 2024-03-28)Mar 28, 2024 · Office count change · derived
- K•••••••• W••••• M••••••••• L•• reported RAUM $4.8B, up 35% from $3.6B (2024-01-25 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- 2 advisors left E••••• J•••• (Greensboro, NC) for K•••••••• W••••• M••••••••• L•• on the same dayFeb 21, 2024 · Team lift-out · derived
- 3 advisors left W•••• F•••• A••••••• (Minneapolis, MN) for K•••••••• W••••• M••••••••• L•• on the same daySep 15, 2023 · Team lift-out · derived
- 2 advisors left E••••• J•••• (Amarillo, TX) for K•••••••• W••••• M••••••••• L•• on the same dayJul 21, 2023 · Team lift-out · derived
- K•••••••• W••••• M••••••••• L•• reported 75 state-registered advisory representatives, up from 60 (2022-11-08 to 2023-03-30)Mar 30, 2023 · Advisor headcount change · derived
- Dawn Misty House (Chief Operations Officer) appeared on Schedule A of K•••••••• W••••• M••••••••• L••Mar 30, 2023 · Control person joined · fact
- P••• J••••• N•••• left K•••••••• W••••• M••••••••• L•• for M••••• • S•••••• (registered 2023-01-18)Feb 10, 2023 · Advisor changed firm · fact
- 2 advisors left E••••• J•••• (Reston, VA) for K•••••••• W••••• M••••••••• L•• within 7 daysNov 7, 2022 · Team lift-out · derived
- P••••••• P••••• left K•••••••• W••••• M••••••••• L•• for A••••• W••••• M••••••••• (registered 2025-04-11)Sep 22, 2022 · Advisor changed firm · fact
- T•••••• J••••• L•• left K•••••••• W••••• M••••••••• L•• for O••••• F•••••••• G••••• L•• (registered 2022-09-06)Sep 12, 2022 · Advisor changed firm · 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
- albuquerque@kingsview.comreportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/kingsviewreportedpublic record, Form ADV, Sep 18, 2026
- Website
- kingsview.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-870-6701reportedpublic record, Form ADV, Jul 29, 2026
- Team page
- kingsview.com/office/greensboro-office/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $77.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026