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 Jan 6, 2026
First filing on the tape Dec 19, 2011 · 10 filings
SEC status approved since Mar 14, 2022
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$144M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$144M as of Jan 6, 2026
Jan 26, 2023$108M then
HNW client RAUM$131M as of Jan 6, 2026
Jan 26, 2023$84.3M then
State-registered IARs (5.B.3)2 as of Jan 6, 2026
Jan 26, 20231 then
Employees (5.A)2 as of Jan 6, 2026
Jan 26, 20231 then
Private funds: no history
RAUM +7.3% over the last fiscal year+9.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $72.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $672,458derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$131M91%
- Individuals$12.5M8.7%
- Individual clients
- 56reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 214reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• F•••• K•••••• | South Bend, In | May 28, 2010 | 32 y | 0 |
| R••• A•••• K••••••Certified Financial Planner | South Bend, In | Aug 19, 2025 | 12 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• E•••• F•••• · Managing Member/Chief Compliance Officercontrolsince 03/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| South Bend, In · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 202 to 214Jan 24, 2025 to Jan 6, 2026
- HNW clients · 26 to 29Jan 24, 2025 to Jan 6, 2026
- Individual clients · 49 to 56Jan 24, 2025 to Jan 6, 2026
- Discretionary RAUM · $134M to $144MJan 24, 2025 to Jan 6, 2026
- HNW RAUM · $121M to $131MJan 24, 2025 to Jan 6, 2026
- Individual RAUM · $13.4M to $12.5MJan 24, 2025 to Jan 6, 2026
- RAUM · $134M to $144MJan 24, 2025 to Jan 6, 2026
- Accounts · 197 to 202Jan 10, 2024 to Jan 24, 2025
- Advisory employees · 1 to 2Jan 10, 2024 to Jan 24, 2025
- HNW clients · 27 to 26Jan 10, 2024 to Jan 24, 2025
- Individual clients · 42 to 49Jan 10, 2024 to Jan 24, 2025
- Employees · 1 to 2Jan 10, 2024 to Jan 24, 2025
- Financial planning clients · unset to 0Jan 10, 2024 to Jan 24, 2025
- State-registered IARs · 1 to 2Jan 10, 2024 to Jan 24, 2025
- Discretionary RAUM · $128M to $134MJan 10, 2024 to Jan 24, 2025
- HNW RAUM · $119M to $121MJan 10, 2024 to Jan 24, 2025
- Individual RAUM · $8.7M to $13.4MJan 10, 2024 to Jan 24, 2025
- RAUM · $128M to $134MJan 10, 2024 to Jan 24, 2025
- Accounts · 67 to 197Nov 2, 2023 to Jan 10, 2024
- HNW clients · 32 to 27Nov 2, 2023 to Jan 10, 2024
- Individual clients · 35 to 42Nov 2, 2023 to Jan 10, 2024
- Discretionary RAUM · $108M to $128MNov 2, 2023 to Jan 10, 2024
- HNW RAUM · $84.3M to $119MNov 2, 2023 to Jan 10, 2024
- Individual RAUM · $24.2M to $8.7MNov 2, 2023 to Jan 10, 2024
- RAUM · $108M to $128MNov 2, 2023 to Jan 10, 2024
- Accounts · 161 to 67Nov 30, 2022 to Jan 26, 2023
- HNW clients · 22 to 32Nov 30, 2022 to Jan 26, 2023
- Individual clients · 32 to 35Nov 30, 2022 to Jan 26, 2023
- Assets in custody · 0.0 to unsetNov 30, 2022 to Jan 26, 2023
- Custody of client assets · true to falseNov 30, 2022 to Jan 26, 2023
- Discretionary RAUM · $117M to $108MNov 30, 2022 to Jan 26, 2023
- HNW RAUM · $106M to $84.3MNov 30, 2022 to Jan 26, 2023
- Individual RAUM · $11.1M to $24.2MNov 30, 2022 to Jan 26, 2023
- RAUM · $117M to $108MNov 30, 2022 to Jan 26, 2023
- Accounts · 55 to 161Dec 19, 2011 to Feb 8, 2022
- Advisory employees · unset to 1.0Dec 19, 2011 to Feb 8, 2022
- Charity clients · unset to 0.0Dec 19, 2011 to Feb 8, 2022
- Corporate clients · unset to 0.0Dec 19, 2011 to Feb 8, 2022
- HNW clients · unset to 22.0Dec 19, 2011 to Feb 8, 2022
- Individual clients · unset to 32.0Dec 19, 2011 to Feb 8, 2022
Signals
1 dated events
- K•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 8, 2022 · 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 phone
- 574-233-2200reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- K••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (574) 233-2200reportedpublic record, Form ADV, Jan 6, 2026
- Contact form
- k•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- k•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $72.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026