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••••• A•• A••••••••• L••
Legal name K••••• • A••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Feb 10, 2012 · 19 filings
SEC status approved since Mar 27, 2012
RAUM
$1.2B
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
67%
$786M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.2B as of Mar 10, 2026
Mar 26, 2013$1.3B then
HNW client RAUM$786M as of Mar 10, 2026
Mar 19, 2018$1.0B then
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Mar 26, 20130 then
Employees (5.A)2 as of Mar 10, 2026
Mar 26, 20132 then
Private funds: no history
RAUM +3.7% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.1MderivedHNW RAUM over HNW clients
- Average account
- $22.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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$786M67%
- Charitable organizations$390M33%
- Individual clients
- n/areported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 53reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.67 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• J••••••• J••••• · Member & Presidentcontrolsince 01/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 43 to 46Mar 12, 2025 to Mar 10, 2026
- Discretionary RAUM · $607M to $621MMar 12, 2025 to Mar 10, 2026
- HNW RAUM · $741M to $786MMar 12, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $527M to $554MMar 12, 2025 to Mar 10, 2026
- RAUM · $1.1B to $1.2BMar 12, 2025 to Mar 10, 2026
- Accounts · 54 to 53Mar 28, 2024 to Mar 12, 2025
- HNW clients · 44 to 43Mar 28, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 12, 2025
- HQ city · unset to Mar 28, 2024 to Mar 12, 2025
- HQ state · unset to Mar 28, 2024 to Mar 12, 2025
- Discretionary RAUM · $608M to $607MMar 28, 2024 to Mar 12, 2025
- HNW RAUM · $626M to $741MMar 28, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $466M to $527MMar 28, 2024 to Mar 12, 2025
- RAUM · $1.1B to $1.1BMar 28, 2024 to Mar 12, 2025
- Accounts · 55 to 54Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 2 to 1Mar 30, 2023 to Mar 28, 2024
- HNW clients · 48 to 44Mar 30, 2023 to Mar 28, 2024
- Employees · 3 to 2Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $246M to $608MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $511M to $626MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $356M to $466MMar 30, 2023 to Mar 28, 2024
- RAUM · $602M to $1.1BMar 30, 2023 to Mar 28, 2024
- Accounts · 54 to 55Mar 30, 2022 to Mar 30, 2023
- HNW clients · 46 to 48Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $268M to $246MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $596M to $511MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $453M to $356MMar 30, 2022 to Mar 30, 2023
- RAUM · $721M to $602MMar 30, 2022 to Mar 30, 2023
- Accounts · 56 to 54Mar 26, 2021 to Mar 30, 2022
- Charity clients · 2.0 to unsetMar 26, 2021 to Mar 30, 2022
- HNW clients · 44 to 46Mar 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $235M to $268MMar 26, 2021 to Mar 30, 2022
- HNW RAUM · $512M to $596MMar 26, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $376M to $453MMar 26, 2021 to Mar 30, 2022
- RAUM · $611M to $721MMar 26, 2021 to Mar 30, 2022
- Accounts · 57 to 56Oct 7, 2020 to Mar 26, 2021
- Advisory activities · 3 to 2Oct 7, 2020 to Mar 26, 2021
- HNW clients · 29 to 44Oct 7, 2020 to Mar 26, 2021
- Employees · 2 to 3Oct 7, 2020 to Mar 26, 2021
- Discretionary RAUM · $185M to $235MOct 7, 2020 to Mar 26, 2021
Signals
3 dated events
- K••••• A•• A••••••••• L•• reported RAUM $1.1B, up 78% from $601.8M (2023-03-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- K••••• A•• A••••••••• L•• reported RAUM $516.8M, down 62% from $1.4B (2020-06-29 to 2020-10-07)Oct 7, 2020 · RAUM change · derived
- Jeanne Carole Kearns (Trustee) no longer on Schedule A of K••••• A•• A••••••••• L•• (listed 2020-06-29, absent 2020-10-07)Oct 7, 2020 · Control person left · inference
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
- Principal office phone
- 310-378-4023reportedpublic record, Form ADV, Mar 10, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026