DFX Intelligence
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K••••••• • G••••••• W••••• P••••••• L••
Independent wealth manager, based in Upper Arlington, Ohio, reporting $299M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $299M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +12%
- Private clients
- 100% of RAUM, $299M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 8
Every filed figure, and the identifiersCRD 159811 · SEC 801-72943 · 28 filingsShowHide
CRD 159811SEC 801-72943First filing on the tape Dec 5, 2011, latest Apr 1, 2026SEC status approved since Jan 4, 2012IAPD
RAUM
$299M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$299M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$299M as of Apr 1, 2026
Mar 26, 2013$108M then
HNW client RAUM$262M as of Apr 1, 2026
Mar 30, 2018$83.5M then
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Mar 26, 20132 then
Employees (5.A)4 as of Apr 1, 2026
Mar 26, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 1, 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
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $435,434derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$262M88%
- Individuals$36.8M12%
- Individual clients
- 173reported
- HNW clients
- 104reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 687reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| M•••••• G••••• K••••••• | Bluffton, Sc | Jan 21, 2022 | 29 y | 4 |
| S•••••• P•••••• G•••••••Certified Financial Planner | Upper Arlington, Oh | Jan 25, 2022 | 32 y | 4 |
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
- M•••••• C•••••• to C•••••• C••••••• L••Nov 17, 2022 · RIA to a state-registered adviser
Joined, latest
- M•••••• C•••••• from E••••• J••••Dec 15, 2020 · Affiliated broker-dealer or bank to independent RIA
- M•••••• G••••• K••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 6, 2012 · Other
- S•••••• P•••••• G••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 4, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• S••••••• P•••••• · Principal And Ccocontrolsince 02/2005 · owns 50% to 75%
- K•••••••• M••••••• G••••• · Principalcontrolsince 02/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Bluffton, SC3 employees
What changed
consecutive filings, newest first
- Accounts · 690 to 687Mar 31, 2025 to Apr 1, 2026
- HNW clients · 101 to 104Mar 31, 2025 to Apr 1, 2026
- Individual clients · 176 to 173Mar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $267M to $298MMar 31, 2025 to Apr 1, 2026
- HNW RAUM · $232M to $262MMar 31, 2025 to Apr 1, 2026
- Individual RAUM · $36.4M to $36.8MMar 31, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $839,071 to $1.2MMar 31, 2025 to Apr 1, 2026
- RAUM · $268M to $299MMar 31, 2025 to Apr 1, 2026
- Accounts · 663 to 690May 31, 2024 to Mar 31, 2025
- HNW clients · 37 to 101May 31, 2024 to Mar 31, 2025
- Individual clients · 169 to 176May 31, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250May 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $236M to $267MMay 31, 2024 to Mar 31, 2025
- HNW RAUM · $207M to $232MMay 31, 2024 to Mar 31, 2025
- Individual RAUM · $29.8M to $36.4MMay 31, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $831,045 to $839,071May 31, 2024 to Mar 31, 2025
- RAUM · $237M to $268MMay 31, 2024 to Mar 31, 2025
- Accounts · 637 to 663Mar 31, 2023 to Mar 29, 2024
- HNW clients · 90 to 37Mar 31, 2023 to Mar 29, 2024
- Individual clients · 154 to 169Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $207M to $236MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $181M to $207MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $27.4M to $29.8MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $1.3M to $831,045Mar 31, 2023 to Mar 29, 2024
- RAUM · $208M to $237MMar 31, 2023 to Mar 29, 2024
- Accounts · 624 to 637Nov 17, 2022 to Mar 31, 2023
- HNW clients · 86 to 90Nov 17, 2022 to Mar 31, 2023
- Individual clients · 153 to 154Nov 17, 2022 to Mar 31, 2023
- Financial planning clients · 51-100 to 101-250Nov 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $218M to $207MNov 17, 2022 to Mar 31, 2023
- HNW RAUM · $178M to $181MNov 17, 2022 to Mar 31, 2023
- Individual RAUM · $42.4M to $27.4MNov 17, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $2.8M to $1.3MNov 17, 2022 to Mar 31, 2023
- RAUM · $221M to $208MNov 17, 2022 to Mar 31, 2023
- Advisory employees · 3 to 2Jan 26, 2022 to Nov 17, 2022
- Employees · 5 to 4Jan 26, 2022 to Nov 17, 2022
- State-registered IARs · 3 to 2Jan 26, 2022 to Nov 17, 2022
- Accounts · 608 to 624Mar 31, 2021 to Jan 20, 2022
- HNW clients · 81 to 86Mar 31, 2021 to Jan 20, 2022
- Individual clients · 157 to 153Mar 31, 2021 to Jan 20, 2022
Signals
1 dated events
- ••• LockedNov 17, 2022 · Advisor changed firm · 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 email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Apr 1, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026