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•••••• E••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Nov 2, 2018 · 16 filings
SEC status approved since Dec 3, 2018
RAUM
$276M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
74%
$203M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$91.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$276M as of Mar 12, 2026
Mar 19, 2019$122M then
HNW client RAUM$197M as of Mar 12, 2026
Mar 19, 2019$86.0M then
State-registered IARs (5.B.3)4 as of Mar 12, 2026
Mar 19, 20192 then
Employees (5.A)5 as of Mar 12, 2026
Mar 19, 20194 then
Private funds1 as of Mar 12, 2026
Mar 20, 20241 then
RAUM -5.1% over the last fiscal year+7.4% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $91.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $912,963derivedHNW RAUM over HNW clients
- Average account
- $317,396derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -23%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.3M, 23 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$197M72%
- Pension and profit-sharing plans$48.0M17%
- Corporations and businesses$24.1M8.7%
- Individuals$6.2M2.3%
- Individual clients
- 22reported
- HNW clients
- 216reported
- Pension plan clients
- 30reported
- Charitable clients
- n/areported
- Accounts
- 868reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3M for 23 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• S•••••• | Princeton, Nj | Dec 11, 2019 | 22 y | 1 |
| R•••• M• B•••••••Certified Financial Planner | Princeton, Nj | Apr 22, 2021 | 26 y | 1 |
| V••••• K••••••••• | Princeton, Nj | Oct 17, 2025 | 19 y | 1 |
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
- J••••• S•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 7, 2022 · RIA to affiliated broker-dealer or bank
- D•••• A• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Mar 12, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- V••••• K••••••••• from U•• F•••••••• S••••••• I•••Oct 17, 2025 · Wirehouse to independent RIA
- R•••• M• B••••••• from N••• F•••••••• G••••• I•••Apr 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- D•••• A• S••••••• from G•••••• S•••• W••••• S•••••••• L•••Nov 9, 2020 · Affiliated broker-dealer or bank to independent RIA
- E•••• S•••••• from U•• F•••••••• S••••••• I•••Dec 11, 2019 · Wirehouse to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•••••• I•••• I••••••••• F••• L• | Private Equity Fund | $0 | 0 | Mar 20, 2024 |
Owners and control persons
Schedule A and B, latest filing
- K••••••••• V••••• · Chief Compliance Officercontrolsince 09/2009 · owns 25% to 50%
- K••••••••• V••••• · Managing Membercontrolsince 03/2010 · owns F of J••••• L••
- M••••••••• G•••• · Managing Membercontrolsince 03/2011 · owns F of V•••• L••
- S••••••• E•••• · Managing Membercontrolsince 03/2011 · owns F of E••• L••
Entity owners
- E••• L•• · Memberdirect · owns 25% to 50%
- J••••• L•• · Managing Memberdirect · owns 25% to 50%
- V•••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C••• T•••• A•• A••••••••• P•••insurancen
- K•••••• C•••••• L••pooled vehicle sponsory
- K•••••• R••• M••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 820 to 868Mar 21, 2025 to Mar 12, 2026
- Advisory employees · 3 to 4Mar 21, 2025 to Mar 12, 2026
- Corporate clients · 27 to 35Mar 21, 2025 to Mar 12, 2026
- HNW clients · 249 to 216Mar 21, 2025 to Mar 12, 2026
- Individual clients · 60 to 22Mar 21, 2025 to Mar 12, 2026
- Pension plan clients · 15 to 30Mar 21, 2025 to Mar 12, 2026
- Assets in custody · $3.2M to $1.3MMar 21, 2025 to Mar 12, 2026
- Financial planning clients · 11-25 to 26-50Mar 21, 2025 to Mar 12, 2026
- State-registered IARs · 3 to 4Mar 21, 2025 to Mar 12, 2026
- Discretionary RAUM · $283M to $257MMar 21, 2025 to Mar 12, 2026
- HNW RAUM · $176M to $197MMar 21, 2025 to Mar 12, 2026
- Individual RAUM · $57.3M to $6.2MMar 21, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $7.0M to $18.8MMar 21, 2025 to Mar 12, 2026
- Pension RAUM · $27.0M to $48.0MMar 21, 2025 to Mar 12, 2026
- RAUM · $290M to $276MMar 21, 2025 to Mar 12, 2026
- Accounts · 822 to 820Mar 26, 2024 to Mar 21, 2025
- Corporate clients · 25 to 27Mar 26, 2024 to Mar 21, 2025
- HNW clients · 203 to 249Mar 26, 2024 to Mar 21, 2025
- Individual clients · 50 to 60Mar 26, 2024 to Mar 21, 2025
- Pension plan clients · 17 to 15Mar 26, 2024 to Mar 21, 2025
- Pooled vehicle clients · unset to 1.0Mar 26, 2024 to Mar 21, 2025
- Assets in custody · unset to 3200000.0Mar 26, 2024 to Mar 21, 2025
- Custody of client assets · false to trueMar 26, 2024 to Mar 21, 2025
- Financial planning clients · 26-50 to 11-25Mar 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $222M to $283MMar 26, 2024 to Mar 21, 2025
- HNW RAUM · $172M to $176MMar 26, 2024 to Mar 21, 2025
- Individual RAUM · $22.0M to $57.3MMar 26, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $17.0M to $7.0MMar 26, 2024 to Mar 21, 2025
- Pension RAUM · $25.0M to $27.0MMar 26, 2024 to Mar 21, 2025
- RAUM · $239M to $290MMar 26, 2024 to Mar 21, 2025
- Accounts · 895 to 822Mar 6, 2023 to Mar 20, 2024
- Advisory activities · 4 to 5Mar 6, 2023 to Mar 20, 2024
- Corporate clients · 12 to 25Mar 6, 2023 to Mar 20, 2024
- HNW clients · 450 to 203Mar 6, 2023 to Mar 20, 2024
- Individual clients · 120 to 50Mar 6, 2023 to Mar 20, 2024
- Pension plan clients · 80 to 17Mar 6, 2023 to Mar 20, 2024
- Private funds · unset to 1Mar 6, 2023 to Mar 20, 2024
- Discretionary RAUM · $198M to $222MMar 6, 2023 to Mar 20, 2024
- HNW RAUM · $129M to $172MMar 6, 2023 to Mar 20, 2024
- Individual RAUM · $8.1M to $22.0MMar 6, 2023 to Mar 20, 2024
Signals
2 dated events
- J••••• S•••• left K•••••• E••••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-01-28)Feb 7, 2022 · Advisor changed firm · fact
- K•••••• E••••••••• L•• filed its initial SEC registration (Form ADV)Nov 2, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- K•••••• E••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- K•••••• E••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@kubhera.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 609-799-5900reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 609-799-5909reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-799-5900reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- kubhera.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $91.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026