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•••• C•••••• M•••••••••
Legal name C•••••• F•••••••• G••••• L••
Latest filing Jul 22, 2026
First filing on the tape Feb 11, 2022 · 9 filings
SEC status approved since Mar 11, 2022
RAUM
$224M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
99%
$222M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$112M
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
9 filings and snapshots on the tape
RAUM$224M as of Jul 22, 2026
Feb 13, 2023$105M then
HNW client RAUM$204M as of Jul 22, 2026
Feb 13, 2023$103M then
State-registered IARs (5.B.3)2 as of Jul 22, 2026
Feb 13, 20231 then
Employees (5.A)2 as of Jul 22, 2026
Feb 13, 20231 then
Private funds: no history
RAUM +17% over the last fiscal year+29% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $817,286derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M91%
- Individuals$17.7M7.9%
- Other investment advisers$2.2M1.0%
- Individual clients
- 44reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 274reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.01 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 |
|---|---|---|---|---|
| W•••••• E•••••• C•••••• | Chapel Hill, Nc | Aug 16, 2013 | 29 y | 4 |
| T••• D••••• E••••••Certified Financial Planner, Chartered Financial Analyst | Honolulu, Hi | Feb 11, 2025 | 23 y | 2 |
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
- T••• D••••• E•••••• from K•••• C•••••• M••••••••• L••Feb 11, 2025 · Other
- W•••••• E•••••• C•••••• from U••••• C•••••• F•••••••• A•••••••Aug 16, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• T•••• D••••• · Ownercontrolsince 12/2024 · owns 75% or more
- C••••••• W••••••• E•••••• · Chief Compliance Officersince 06/2013 · owns less than 5%
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
- Accounts · 268 to 274Jan 23, 2025 to Mar 24, 2026
- Individual clients · 36 to 44Jan 23, 2025 to Mar 24, 2026
- Assets in custody · $60.9M to $63.8MJan 23, 2025 to Mar 24, 2026
- Discretionary RAUM · $192M to $203MJan 23, 2025 to Mar 24, 2026
- HNW RAUM · $174M to $204MJan 23, 2025 to Mar 24, 2026
- Individual RAUM · $16.3M to $17.7MJan 23, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $20.9MJan 23, 2025 to Mar 24, 2026
- RAUM · $192M to $224MJan 23, 2025 to Mar 24, 2026
- Accounts · 133 to 268Dec 16, 2024 to Jan 23, 2025
- Advisory employees · 1 to 2Dec 16, 2024 to Jan 23, 2025
- Advisory activities · 1 to 3Dec 16, 2024 to Jan 23, 2025
- Business name · C•••••• F•••••••• G••••• L•• to K•••• C•••••• M•••••••••Dec 16, 2024 to Jan 23, 2025
- HNW clients · 31 to 51Dec 16, 2024 to Jan 23, 2025
- Individual clients · 5 to 36Dec 16, 2024 to Jan 23, 2025
- Assets in custody · unset to 60893692.0Dec 16, 2024 to Jan 23, 2025
- Employees · 1 to 2Dec 16, 2024 to Jan 23, 2025
- Insurance-licensed employees · 1 to 0Dec 16, 2024 to Jan 23, 2025
- Financial planning clients · unset to 51-100Dec 16, 2024 to Jan 23, 2025
- HQ city · unset to Dec 16, 2024 to Jan 23, 2025
- HQ state · unset to Dec 16, 2024 to Jan 23, 2025
- State-registered IARs · 1 to 2Dec 16, 2024 to Jan 23, 2025
- Other offices · 0 to 1Dec 16, 2024 to Jan 23, 2025
- Discretionary RAUM · $113M to $192MDec 16, 2024 to Jan 23, 2025
- HNW RAUM · $111M to $174MDec 16, 2024 to Jan 23, 2025
- Individual RAUM · $1.9M to $16.3MDec 16, 2024 to Jan 23, 2025
- RAUM · $113M to $192MDec 16, 2024 to Jan 23, 2025
- Advisory activities · 2 to 1Feb 9, 2024 to Dec 16, 2024
- Accounts · 132 to 133Feb 13, 2023 to Feb 9, 2024
- Discretionary RAUM · $105M to $113MFeb 13, 2023 to Feb 9, 2024
- HNW RAUM · $103M to $111MFeb 13, 2023 to Feb 9, 2024
- Individual RAUM · $1.9M to $1.9MFeb 13, 2023 to Feb 9, 2024
- RAUM · $105M to $113MFeb 13, 2023 to Feb 9, 2024
- Accounts · 125 to 132Jun 13, 2022 to Feb 13, 2023
- Discretionary RAUM · $123M to $105MJun 13, 2022 to Feb 13, 2023
- HNW RAUM · $121M to $103MJun 13, 2022 to Feb 13, 2023
- Individual RAUM · $2.3M to $1.9MJun 13, 2022 to Feb 13, 2023
- RAUM · $123M to $105MJun 13, 2022 to Feb 13, 2023
Signals
2 dated events
- Davies Todd Erskine (Owner) appeared on Schedule A of K•••• C•••••• M•••••••••Dec 16, 2024 · Control person joined · fact
- C•••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 11, 2022 · 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
- K••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312 994-2390reportedpublic record, Form ADV, Jul 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026