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••••••••• G••••• L••
Latest filing Jan 27, 2026
First filing on the tape Jan 4, 2012 · 54 filings
SEC status approved since Jan 10, 2012
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.0B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$1.1B as of Jan 27, 2026
Feb 22, 2013$1.5B then
HNW client RAUM$878M as of Jan 27, 2026
Feb 8, 2018$241M then
State-registered IARs (5.B.3)8 as of Jan 27, 2026
Feb 22, 20130 then
Employees (5.A)8 as of Jan 27, 2026
Feb 22, 20135 then
Private funds: no history
RAUM +16% over the last fiscal year+20% a year over threeIARs 7 to 8offices 1 to 2
Practice profile
derived from the filing of Jan 27, 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
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $572,404derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $287M, 191 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$878M81%
- Individuals$170M16%
- Corporations and businesses$33.5M3.1%
- Pension and profit-sharing plans$1.7M0.2%
- Charitable organizations$667,5320.1%
- Individual clients
- 460reported
- HNW clients
- 248reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,894reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $287M for 191 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• E•••• K••• | Saratoga Springs, Ny | Dec 14, 2020 | 36 y | 1 |
| K•••••• J•••• T••••••••Certified Financial Planner | Saratoga Springs, Ny | May 24, 2021 | 20 y | 2 |
| D••••• P••• G••• | Saratoga Springs, Ny | May 30, 2021 | 26 y | 1 |
| M•••••• M•••• M••••• | Saratoga Springs, Ny | May 30, 2021 | 22 y | 2 |
| J••• M•••• Q•••• | Saratoga Springs, Ny | Aug 9, 2021 | 31 y | 1 |
| S••• B•••••• M•••••••Certified Financial Planner | Saratoga Springs, Ny | Nov 1, 2021 | 16 y | 0 |
| P••••••• M•••• W••••• | Saratoga Springs, Ny | Oct 12, 2023 | 17 y | 2 |
| J•••• C••••• S•••• | Saratoga Springs, Ny | Apr 7, 2025 | 20 y | 0 |
| N•••••••• J•• K••• | Saratoga Springs, Ny | Jun 18, 2026 | 10 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
- P••••••• M•••• W••••• from L•• F•••••••• L••Oct 12, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••• M•••• Q•••• from M••••• S••••••Aug 9, 2021 · Wirehouse to independent RIA
- M•••••• M•••• M••••• from M••••• S••••••May 30, 2021 · Wirehouse to independent RIA
- K•••••• J•••• T•••••••• from G•••••• S•••• W••••• S•••••••• L•••May 24, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• D•••••• P••• · Vice Presidentcontrolsince 02/2012 · owns less than 5%
- K•••• L•••••••• E•••• · President/Ccocontrolsince 02/2012 · owns 75% or more
- K•••• S••••• A• · Treasurercontrolsince 01/2015 · owns less than 5%
- Q••••• J•••• M•••• · Secretarycontrolsince 01/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Saratoga Springs, Ny · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Saratoga Springs, NY5 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jan 27, 2026K•••• L•••••••• E•••• (PRESIDENT/CCO) left Schedule A between the filings of 2016-02-24 and 2026-01-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,743 to 1,894Jun 18, 2025 to Jan 27, 2026
- Advisory employees · 7 to 8Jun 18, 2025 to Jan 27, 2026
- HNW clients · 219 to 248Jun 18, 2025 to Jan 27, 2026
- Individual clients · 444 to 460Jun 18, 2025 to Jan 27, 2026
- Assets in custody · $236M to $287MJun 18, 2025 to Jan 27, 2026
- Employees · 7 to 8Jun 18, 2025 to Jan 27, 2026
- State-registered IARs · 7 to 8Jun 18, 2025 to Jan 27, 2026
- Discretionary RAUM · $923M to $1.1BJun 18, 2025 to Jan 27, 2026
- HNW RAUM · $721M to $878MJun 18, 2025 to Jan 27, 2026
- Individual RAUM · $172M to $170MJun 18, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $8.2M to $4.3MJun 18, 2025 to Jan 27, 2026
- Pension RAUM · $1.4M to $1.7MJun 18, 2025 to Jan 27, 2026
- RAUM · $931M to $1.1BJun 18, 2025 to Jan 27, 2026
- Financial planning clients · 51-100 to 51-100Jan 20, 2025 to Jun 18, 2025
- HQ city · NAPLES to SARATOGA SPRINGSJan 20, 2025 to Jun 18, 2025
- HQ state · FL to NYJan 20, 2025 to Jun 18, 2025
- Other offices · 1 to 2Jan 20, 2025 to Jun 18, 2025
- Accounts · 1,729 to 1,743Apr 2, 2024 to Jan 20, 2025
- Corporate clients · 10 to 11Apr 2, 2024 to Jan 20, 2025
- HNW clients · 176 to 219Apr 2, 2024 to Jan 20, 2025
- Individual clients · 526 to 444Apr 2, 2024 to Jan 20, 2025
- Assets in custody · $194M to $236MApr 2, 2024 to Jan 20, 2025
- Employees · 8 to 7Apr 2, 2024 to Jan 20, 2025
- Discretionary RAUM · $740M to $923MApr 2, 2024 to Jan 20, 2025
- HNW RAUM · $537M to $721MApr 2, 2024 to Jan 20, 2025
- Individual RAUM · $175M to $172MApr 2, 2024 to Jan 20, 2025
- Non-discretionary RAUM · $11.0M to $8.2MApr 2, 2024 to Jan 20, 2025
- Pension RAUM · $1.2M to $1.4MApr 2, 2024 to Jan 20, 2025
- RAUM · $751M to $931MApr 2, 2024 to Jan 20, 2025
- Advisory activities · 4 to 3Feb 20, 2024 to Mar 29, 2024
- Other offices · 10 to 1Feb 20, 2024 to Mar 29, 2024
- Accounts · 1,647 to 1,729May 26, 2023 to Jan 12, 2024
- Corporate clients · 8 to 10May 26, 2023 to Jan 12, 2024
- HNW clients · 137 to 176May 26, 2023 to Jan 12, 2024
- Individual clients · 497 to 526May 26, 2023 to Jan 12, 2024
- Assets in custody · $157M to $194MMay 26, 2023 to Jan 12, 2024
- Financial planning clients · 26-50 to 51-100May 26, 2023 to Jan 12, 2024
- State-registered IARs · 6 to 7May 26, 2023 to Jan 12, 2024
- Other offices · 8 to 10May 26, 2023 to Jan 12, 2024
- Discretionary RAUM · $623M to $740MMay 26, 2023 to Jan 12, 2024
Signals
2 dated events
- K••• W••••• M••••••••• G••••• L•• reported 1 offices beyond its principal office, down from 10 (2024-02-20 to 2024-03-29)Mar 29, 2024 · Office count change · derived
- K••• W••••• M••••••••• G••••• L•• reported RAUM $554.3M, up 26% from $439.0M (2019-09-20 to 2020-03-10)Mar 10, 2020 · RAUM change · derived
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•••-WEALTH-MANAGEMENT-GROUP-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- mykingwealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 518-306-5640reportedpublic record, Form ADV, Jan 27, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026