DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
A••••• C•••••• M••••••••• L••
Legal name A••••• C•••••• M••••••••• L••••••
Latest filing Aug 25, 2026
First filing on the tape Apr 30, 2015 · 37 filings
SEC status approved since May 12, 2015
RAUM
$470M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$470M
derived; firm RAUM over IAPD count
Employees
7
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$470M as of Aug 25, 2026
Mar 28, 2016$219M then
HNW client RAUM$0 as of Aug 25, 2026
Feb 7, 2019$0 then
State-registered IARs (5.B.3)1 as of Aug 25, 2026
Mar 28, 20161 then
Employees (5.A)7 as of Aug 25, 2026
Mar 28, 20161 then
Private funds1 as of Aug 25, 2026
Mar 28, 20161 then
RAUM -37% over the last fiscal year+1.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $470MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $78.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 69%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $146M, 1 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$297M63%
- Pooled investment vehicles$146M31%
- Pension and profit-sharing plans$26.9M5.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $146M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.31 institutional_share=0.69 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••••• D••••••• S••••• | Coral Springs, Fl | May 8, 2017 | 11 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
- V••••• K•••• M••••• to F•••••• I•••••••• L••May 28, 2014 · Other
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• C•••••• I•••• F••••• | Other Private Fund | $184M | 22 | Apr 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• K••••••••• D••••••• · Managing Member; Chief Compliance Officercontrolsince 05/2017 · owns less than 5%
Entity owners
- S••••• E••••••••• L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Coral Springs, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Jan 29, 2026RAUM (Item 5.F) moved from $742,610,391 to $470,168,766 (-37.0%) between the annual amendments of 2025-01-22 and 2026-01-29; the peer median change was +8.0% (161 comparable advisers, 6.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 6.3% percentile
What changed
consecutive filings, newest first
- Charity clients · 0 to 4Jan 22, 2025 to Jan 29, 2026
- Corporate clients · 4 to 0Jan 22, 2025 to Jan 29, 2026
- Assets in custody · $215M to $146MJan 22, 2025 to Jan 29, 2026
- Discretionary RAUM · $743M to $470MJan 22, 2025 to Jan 29, 2026
- Pension RAUM · $43.3M to $26.9MJan 22, 2025 to Jan 29, 2026
- Pooled vehicle RAUM · $215M to $146MJan 22, 2025 to Jan 29, 2026
- RAUM · $743M to $470MJan 22, 2025 to Jan 29, 2026
- Assets in custody · $175M to $215MJan 31, 2024 to Jan 22, 2025
- Employees · 1 to 7Jan 31, 2024 to Jan 22, 2025
- Financial planning clients · unset to Jan 31, 2024 to Jan 22, 2025
- HQ state · unset to Jan 31, 2024 to Jan 22, 2025
- Discretionary RAUM · $707M to $743MJan 31, 2024 to Jan 22, 2025
- Pension RAUM · $41.6M to $43.3MJan 31, 2024 to Jan 22, 2025
- Pooled vehicle RAUM · $175M to $215MJan 31, 2024 to Jan 22, 2025
- RAUM · $707M to $743MJan 31, 2024 to Jan 22, 2025
- Assets in custody · $114M to $175MApr 14, 2023 to Jan 12, 2024
- Discretionary RAUM · $447M to $707MApr 14, 2023 to Jan 12, 2024
- Pension RAUM · $23.7M to $41.6MApr 14, 2023 to Jan 12, 2024
- Pooled vehicle RAUM · $114M to $175MApr 14, 2023 to Jan 12, 2024
- RAUM · $447M to $707MApr 14, 2023 to Jan 12, 2024
- Discretionary RAUM · $447M to $447MJan 24, 2023 to Apr 14, 2023
- Pension RAUM · $23.8M to $23.7MJan 24, 2023 to Apr 14, 2023
- RAUM · $447M to $447MJan 24, 2023 to Apr 14, 2023
- Assets in custody · $108M to $114MJan 27, 2022 to Jan 24, 2023
- Discretionary RAUM · $477M to $447MJan 27, 2022 to Jan 24, 2023
- Pension RAUM · $28.2M to $23.8MJan 27, 2022 to Jan 24, 2023
- Pooled vehicle RAUM · $108M to $114MJan 27, 2022 to Jan 24, 2023
- RAUM · $477M to $447MJan 27, 2022 to Jan 24, 2023
- Assets in custody · $80.4M to $108MAug 25, 2021 to Jan 26, 2022
- Discretionary RAUM · $387M to $477MAug 25, 2021 to Jan 26, 2022
- Pension RAUM · $22.9M to $28.2MAug 25, 2021 to Jan 26, 2022
- Pooled vehicle RAUM · $80.4M to $108MAug 25, 2021 to Jan 26, 2022
- RAUM · $387M to $477MAug 25, 2021 to Jan 26, 2022
- Pension RAUM · $37.3M to $22.9MMar 8, 2021 to Apr 1, 2021
- Assets in custody · $77.9M to $80.4MDec 7, 2020 to Mar 8, 2021
- Discretionary RAUM · $302M to $387MDec 7, 2020 to Mar 8, 2021
- Pension RAUM · $18.1M to $37.3MDec 7, 2020 to Mar 8, 2021
- Pooled vehicle RAUM · $77.9M to $80.4MDec 7, 2020 to Mar 8, 2021
- RAUM · $302M to $387MDec 7, 2020 to Mar 8, 2021
- Assets in custody · $0 to $77.9MJan 16, 2020 to Sep 23, 2020
Signals
4 dated events
- A••••• C•••••• M••••••••• L•• reported RAUM $470.2M, down 37% from $742.6M (2025-01-22 to 2026-01-29)Jan 29, 2026 · RAUM change · derived
- A••••• C•••••• M••••••••• L•• reported RAUM $707.1M, up 58% from $446.9M (2023-04-14 to 2024-01-12)Jan 12, 2024 · RAUM change · derived
- A••••• C•••••• M••••••••• L•• reported RAUM $433.4M, up 34% from $322.4M (2017-11-28 to 2018-01-22)Jan 22, 2018 · RAUM change · derived
- A••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 30, 2015 · 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
- Website
- A•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (230) 212-9800reportedpublic record, Form ADV, Aug 25, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $470Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026