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•••••• • C•••••• L••
Latest filing Mar 20, 2026
First filing on the tape Feb 22, 2012 · 14 filings
SEC status approved since Apr 22, 2021
RAUM
$138M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$135M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$138M as of Mar 20, 2026
Mar 19, 2022$139M then
HNW client RAUM$82.9M as of Mar 20, 2026
Mar 19, 2022$90.7M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Mar 19, 20222 then
Employees (5.A)3 as of Mar 20, 2026
Mar 19, 20223 then
Private funds: no history
RAUM -6.1% over the last fiscal year+6.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 20, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $45.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $199,041derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$82.9M60%
- Individuals$52.2M38%
- Pension and profit-sharing plans$1.8M1.3%
- Charitable organizations$640,5820.5%
- Individual clients
- 247reported
- HNW clients
- 31reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 691reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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••• P••••••• B••••• | Suffolk, Va | Jan 29, 2010 | 20 y | 1 |
| S•••••• J••••• K••••••Certified Financial Planner | Suffolk, Va | Jan 29, 2010 | 21 y | 1 |
| A••• J•••••• K••••••Certified Financial Planner | Norfolk, Va | Jan 29, 2010 | 40 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E••• P••••••• B••••• from U•• F•••••••• S••••••• I•••Jan 29, 2010 · Other
- S•••••• J••••• K•••••• from U•• F•••••••• S••••••• I•••Jan 29, 2010 · Other
- A••• J•••••• K•••••• from U•• F•••••••• S••••••• I•••Jan 29, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• A•••• J•••••• · Manager, Member, Chairman, Chief Compliance Officercontrolsince 10/2009 · owns 50% to 75%
- K••••••• S••••••• J••••• · Manager, Member, Presidentcontrolsince 10/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••• K•••••• M••••• P•••••••• L••investment advisernRAUM $44.2M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Suffolk, Va · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 626 to 691Mar 12, 2025 to Mar 20, 2026
- Individual clients · 233 to 247Mar 12, 2025 to Mar 20, 2026
- Pension plan clients · unset to 5.0Mar 12, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 0Mar 12, 2025 to Mar 20, 2026
- Discretionary RAUM · $142M to $135MMar 12, 2025 to Mar 20, 2026
- HNW RAUM · $96.5M to $82.9MMar 12, 2025 to Mar 20, 2026
- Individual RAUM · $49.5M to $52.2MMar 12, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $4.2M to $2.9MMar 12, 2025 to Mar 20, 2026
- Pension RAUM · unset to 1761061.0Mar 12, 2025 to Mar 20, 2026
- RAUM · $146M to $138MMar 12, 2025 to Mar 20, 2026
- Accounts · 270 to 626Mar 5, 2024 to Mar 12, 2025
- HNW clients · 28 to 31Mar 5, 2024 to Mar 12, 2025
- Individual clients · 240 to 233Mar 5, 2024 to Mar 12, 2025
- Financial planning clients · 1-10 to 1-10Mar 5, 2024 to Mar 12, 2025
- Discretionary RAUM · $125M to $142MMar 5, 2024 to Mar 12, 2025
- HNW RAUM · $81.7M to $96.5MMar 5, 2024 to Mar 12, 2025
- Individual RAUM · $44.9M to $49.5MMar 5, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $2.0M to $4.2MMar 5, 2024 to Mar 12, 2025
- RAUM · $127M to $146MMar 5, 2024 to Mar 12, 2025
- Accounts · 578 to 270Jun 9, 2023 to Mar 5, 2024
- Advisory activities · 3 to 4Jun 9, 2023 to Mar 5, 2024
- HNW clients · 25 to 28Jun 9, 2023 to Mar 5, 2024
- Individual clients · 231 to 240Jun 9, 2023 to Mar 5, 2024
- Discretionary RAUM · $111M to $125MJun 9, 2023 to Mar 5, 2024
- HNW RAUM · $73.1M to $81.7MJun 9, 2023 to Mar 5, 2024
- Individual RAUM · $39.6M to $44.9MJun 9, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $1.4M to $2.0MJun 9, 2023 to Mar 5, 2024
- RAUM · $113M to $127MJun 9, 2023 to Mar 5, 2024
- Accounts · 612 to 578Dec 12, 2022 to Mar 25, 2023
- Charity clients · 0.0 to unsetDec 12, 2022 to Mar 25, 2023
- Corporate clients · 0.0 to unsetDec 12, 2022 to Mar 25, 2023
- HNW clients · 29 to 25Dec 12, 2022 to Mar 25, 2023
- Individual clients · 192 to 231Dec 12, 2022 to Mar 25, 2023
- Pension plan clients · 0.0 to unsetDec 12, 2022 to Mar 25, 2023
- Pooled vehicle clients · 0.0 to unsetDec 12, 2022 to Mar 25, 2023
- Financial planning clients · 11-25 to 1-10Dec 12, 2022 to Mar 25, 2023
- State-registered IARs · 2 to 3Dec 12, 2022 to Mar 25, 2023
- Discretionary RAUM · $134M to $111MDec 12, 2022 to Mar 25, 2023
- HNW RAUM · $90.7M to $73.1MDec 12, 2022 to Mar 25, 2023
- Individual RAUM · $48.5M to $39.6MDec 12, 2022 to Mar 25, 2023
Signals
1 dated events
- K•••••• • C•••••• L•• filed its initial SEC registration (Form ADV)Mar 17, 2021 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/K••••••COreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 757-638-5490reportedpublic record, Form ADV, Mar 20, 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
- $45.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026