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
S••••• F•••••••• M•••••••••
Legal name K••••••• F•••••••• S••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Mar 5, 2021 · 11 filings
SEC status approved since Apr 6, 2021
RAUM
$400M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$400M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$400M as of Aug 18, 2026
Mar 30, 2022$164M then
HNW client RAUM$203M as of Aug 18, 2026
Mar 30, 2022$87.3M then
State-registered IARs (5.B.3)4 as of Aug 18, 2026
Mar 30, 20222 then
Employees (5.A)12 as of Aug 18, 2026
Mar 30, 20224 then
Private funds: no history
RAUM +27% over the last fiscal year+22% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Aug 18, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 292derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $430,781derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Financial planning clients
- 584reportedItem 5.H
- 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)
- compensates persons for client referrals (8.G.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$203M51%
- Individuals$196M49%
- Individual clients
- 468reported
- HNW clients
- 116reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 928reported
- Financial planning clients
- 584reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| J•••• C•••• K•••••••Certified Financial Planner | San Antonio, Tx | Feb 23, 2016 | 20 y | 7 |
| J•••• A••• M•••••••Certified Financial Planner | San Antonio, Tx | Jun 20, 2020 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- T••••• E••••• M•••• to T••••••• A•••• M••••••••• L••Aug 13, 2026 · RIA to RIA
- J•••• C•••• K••••••• to R•• A•••••••• L••Oct 21, 2015 · Other
Joined, latest
- T••••• E••••• M•••• from C••••• I••••••••• A••••••• L••Dec 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• C•••• K••••••• from R•• A•••••••• L••Feb 23, 2016 · Other
- J•••• C•••• K••••••• from L•• F•••••••• L••Jan 1, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• J••••• C•••• · President/Chief Compliance Officercontrolsince 01/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| San Antonio, Tx · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 4 to 3Mar 26, 2026 to May 5, 2026
- Accounts · 621 to 928Mar 3, 2025 to Mar 26, 2026
- Advisory employees · 3 to 4Mar 3, 2025 to Mar 26, 2026
- HNW clients · 88 to 116Mar 3, 2025 to Mar 26, 2026
- Individual clients · 415 to 468Mar 3, 2025 to Mar 26, 2026
- Pension plan clients · unset to 0.0Mar 3, 2025 to Mar 26, 2026
- Employees · 9 to 12Mar 3, 2025 to Mar 26, 2026
- Financial planning clients · 51-100 to More than 500Mar 3, 2025 to Mar 26, 2026
- State-registered IARs · 3 to 4Mar 3, 2025 to Mar 26, 2026
- Legal name · K••••••• FINANCIAL SERVICES to K••••••• FINANCIAL SERVICES LLCMar 3, 2025 to Mar 26, 2026
- Discretionary RAUM · $314M to $400MMar 3, 2025 to Mar 26, 2026
- HNW RAUM · $132M to $203MMar 3, 2025 to Mar 26, 2026
- Individual RAUM · $182M to $196MMar 3, 2025 to Mar 26, 2026
- Pension RAUM · unset to 0.0Mar 3, 2025 to Mar 26, 2026
- RAUM · $314M to $400MMar 3, 2025 to Mar 26, 2026
- Accounts · 595 to 621Jun 24, 2024 to Mar 3, 2025
- Advisory employees · 2 to 3Jun 24, 2024 to Mar 3, 2025
- HNW clients · 99 to 88Jun 24, 2024 to Mar 3, 2025
- Individual clients · 289 to 415Jun 24, 2024 to Mar 3, 2025
- Employees · 4 to 9Jun 24, 2024 to Mar 3, 2025
- Financial planning clients · 51-100 to 51-100Jun 24, 2024 to Mar 3, 2025
- State-registered IARs · 2 to 3Jun 24, 2024 to Mar 3, 2025
- Discretionary RAUM · $281M to $314MJun 24, 2024 to Mar 3, 2025
- HNW RAUM · $162M to $132MJun 24, 2024 to Mar 3, 2025
- Individual RAUM · $119M to $182MJun 24, 2024 to Mar 3, 2025
- RAUM · $281M to $314MJun 24, 2024 to Mar 3, 2025
- Accounts · 334 to 595Mar 8, 2023 to Mar 14, 2024
- HNW clients · 75 to 99Mar 8, 2023 to Mar 14, 2024
- Individual clients · 259 to 289Mar 8, 2023 to Mar 14, 2024
- Financial planning clients · 26-50 to 51-100Mar 8, 2023 to Mar 14, 2024
- Legal name · K••••••• FINANCIAL SERVICES, LLC to K••••••• FINANCIAL SERVICESMar 8, 2023 to Mar 14, 2024
- Discretionary RAUM · $221M to $281MMar 8, 2023 to Mar 14, 2024
- HNW RAUM · $113M to $162MMar 8, 2023 to Mar 14, 2024
- Individual RAUM · $108M to $119MMar 8, 2023 to Mar 14, 2024
- RAUM · $221M to $281MMar 8, 2023 to Mar 14, 2024
- Accounts · 310 to 334Mar 30, 2022 to Mar 8, 2023
- HNW clients · 63 to 75Mar 30, 2022 to Mar 8, 2023
- Individual clients · 163 to 259Mar 30, 2022 to Mar 8, 2023
- Financial planning clients · 0 to 26-50Mar 30, 2022 to Mar 8, 2023
- Discretionary RAUM · $164M to $221MMar 30, 2022 to Mar 8, 2023
Signals
2 dated events
- T••••• E••••• M•••• left S••••• F•••••••• M••••••••• for T••••••• A•••• M••••••••• L•• (registered 2026-08-12)Aug 13, 2026 · Advisor changed firm · fact
- S••••• F•••••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 5, 2021 · 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
- Business phone
- 210-428-6250reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/secure-financial-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sfmplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 210-428-6250reportedpublic record, Form ADV, Aug 18, 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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026