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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Former SEC-registered adviser

K•••• F•••••••• S•••••••

Former SEC-registered adviserCRD 149508SEC 801-69972IAPD
Legal name K•••• F•••••••• C••••
Latest filing Jan 13, 2016
First filing on the tape Mar 23, 2012 · 13 filings
RAUM
$3.1M
reported, Item 5.F
Discretionary
16%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$3.1M as of Jan 12, 2016
Mar 23, 2012$85.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 12, 2016
Mar 23, 20120 then
Employees (5.A)2 as of Jan 12, 2016
Feb 8, 20136 then
Private funds: no history
RAUM -97% over the last fiscal year-69% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 13, 2016; every figure names its basis
RAUM per advisor
$3.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$140,909derivedRAUM over accounts (5.F.2.f)
Discretionary
16%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-97%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
22reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• T•••• · President / Chief Compliance Officercontrol
        since 12/2002 · owns 75% or more
      Related persons
      Schedule D 7.A
      • Z•• N•••• D••••• A••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 390 to 22
        Feb 9, 2015 to Jan 12, 2016
      • BD registered reps · 1 to 0
        Feb 9, 2015 to Jan 12, 2016
      • Discretionary RAUM · $46.0M to $500,000
        Feb 9, 2015 to Jan 12, 2016
      • Non-discretionary RAUM · $65.0M to $2.6M
        Feb 9, 2015 to Jan 12, 2016
      • RAUM · $111M to $3.1M
        Feb 9, 2015 to Jan 12, 2016
      • Accounts · 310 to 390
        Feb 20, 2014 to Feb 9, 2015
      • Advisory employees · 4 to 1
        Feb 20, 2014 to Feb 9, 2015
      • BD registered reps · 0 to 1
        Feb 20, 2014 to Feb 9, 2015
      • Employees · 6 to 2
        Feb 20, 2014 to Feb 9, 2015
      • HQ city · VALLEY STREAM to unset
        Feb 20, 2014 to Feb 9, 2015
      • HQ state · NY to unset
        Feb 20, 2014 to Feb 9, 2015
      • State-registered IARs · 2 to 1
        Feb 20, 2014 to Feb 9, 2015
      • Discretionary RAUM · $45.0M to $46.0M
        Feb 20, 2014 to Feb 9, 2015
      • Non-discretionary RAUM · $2.0M to $65.0M
        Feb 20, 2014 to Feb 9, 2015
      • RAUM · $47.0M to $111M
        Feb 20, 2014 to Feb 9, 2015
      • Accounts · 483 to 310
        Nov 27, 2013 to Feb 20, 2014
      • Advisory employees · 3 to 4
        Nov 27, 2013 to Feb 20, 2014
      • Insurance-licensed employees · 1 to 0
        Nov 27, 2013 to Feb 20, 2014
      • Discretionary RAUM · $60.0M to $45.0M
        Nov 27, 2013 to Feb 20, 2014
      • Non-discretionary RAUM · $40.0M to $2.0M
        Nov 27, 2013 to Feb 20, 2014
      • RAUM · $100M to $47.0M
        Nov 27, 2013 to Feb 20, 2014
      • Accounts · 200 to 483
        Nov 6, 2012 to Feb 8, 2013
      • Advisory employees · 1 to 3
        Nov 6, 2012 to Feb 8, 2013
      • Employees · 4 to 6
        Nov 6, 2012 to Feb 8, 2013
      • Insurance-licensed employees · 0 to 1
        Nov 6, 2012 to Feb 8, 2013
      • State-registered IARs · 1 to 2
        Nov 6, 2012 to Feb 8, 2013
      • Discretionary RAUM · $65.0M to $60.0M
        Nov 6, 2012 to Feb 8, 2013
      • Non-discretionary RAUM · $20.0M to $40.0M
        Nov 6, 2012 to Feb 8, 2013
      • RAUM · $85.0M to $100M
        Nov 6, 2012 to Feb 8, 2013
      • Advisory employees · unset to 1.0
        Aug 31, 2012 to Nov 6, 2012
      • BD registered reps · unset to 0.0
        Aug 31, 2012 to Nov 6, 2012
      • Employees · unset to 4.0
        Aug 31, 2012 to Nov 6, 2012
      • State-registered IARs · 0 to 1
        Aug 31, 2012 to Nov 6, 2012
      • Business name · K•••• F•••••••• C•••• to K•••• F•••••••• S•••••••
        Mar 23, 2012 to May 24, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026