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••

Independent wealth managerCRD 165070SEC 801-132031websiteIAPD
Latest filing Jan 22, 2026
First filing on the tape Feb 4, 2025 · 2 filings
SEC status approved since Feb 27, 2025
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$130M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$68.0M
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
2 filings and snapshots on the tape
RAUM$136M as of Jan 22, 2026
Feb 4, 2025$107M then
HNW client RAUM$101M as of Jan 22, 2026
Feb 4, 2025$74.0M then
State-registered IARs (5.B.3)2 as of Jan 22, 2026
Feb 4, 20252 then
Employees (5.A)2 as of Jan 22, 2026
Feb 4, 20252 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 22, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$68.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
105derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$282,571derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%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
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$136MreportedItem 5.I
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$101M75%
  • Individuals$29.0M21%
  • Corporations and businesses$5.1M3.8%
  • Charitable organizations$570,4140.4%
Individual clients
162reported
HNW clients
47reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
481reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.96 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
NameBranchHere sinceIn industryPrior firms
G••••• J••••• K••••••Certified Financial PlannerKnoxville, TnNov 1, 201224 y2
R••• M•••••• G••••Certified Financial Planner, Chartered Financial AnalystTysons Corner, Va Apr 22, 202014 y3
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 headcount1 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••••• A••• · Passive Ownercontrol
    since 06/2012 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Knoxville, Tn200
Colorado Springs, Co000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 435 to 481
    Feb 4, 2025 to Jan 22, 2026
  • HNW clients · 40 to 47
    Feb 4, 2025 to Jan 22, 2026
  • Individual clients · 146 to 162
    Feb 4, 2025 to Jan 22, 2026
  • Discretionary RAUM · $107M to $136M
    Feb 4, 2025 to Jan 22, 2026
  • HNW RAUM · $74.0M to $101M
    Feb 4, 2025 to Jan 22, 2026
  • Individual RAUM · $27.2M to $29.0M
    Feb 4, 2025 to Jan 22, 2026
  • RAUM · $107M to $136M
    Feb 4, 2025 to Jan 22, 2026
Signals
1 dated events
  • B•••••• M•••••• R••••••• left K•••••• W••••• M••••••••• L•• for F•••••••• A•••••• I••• (registered 2024-06-24)
    Apr 22, 2024 · 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
Website
K••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone
703-569-8363reportedpublic record, Form ADV, Jan 22, 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
$68.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026