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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Former SEC-registered adviser

K••••• I••••••••• A••••••• I•••

Former SEC-registered adviserFort Lauderdale, FloridaCRD 170450SEC 801-79304IAPD
Latest filing Mar 29, 2022
First filing on the tape Feb 27, 2014 · 14 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$0 as of Mar 29, 2022
Mar 31, 2015$0 then
HNW client RAUM$2.5M as of Mar 29, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 29, 2022
Mar 31, 20152 then
Employees (5.A)3 as of Mar 29, 2022
Mar 31, 20152 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
-67%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••••• B••••• J••• · Presidentcontrol
    since 02/2014 · owns 25% to 50%
  • K•••••• P•••••••• · Shareholdercontrol
    since 02/2020 · owns 50% to 75%
  • M••••• J••••• C•••• · Executive Vice President & Chief Compliance Officercontrol
    since 11/2019 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Miami, FL1 employees
What changed
consecutive filings, newest first
  • Accounts · 7 to 0
    Mar 29, 2021 to Mar 29, 2022
  • Advisory employees · 3 to 1
    Mar 29, 2021 to Mar 29, 2022
  • BD registered reps · 3 to 2
    Mar 29, 2021 to Mar 29, 2022
  • Insurance-licensed employees · 3 to 1
    Mar 29, 2021 to Mar 29, 2022
  • State-registered IARs · 3 to 1
    Mar 29, 2021 to Mar 29, 2022
  • Discretionary RAUM · $2.1M to $0
    Mar 29, 2021 to Mar 29, 2022
  • HNW RAUM · 2545053.0 to unset
    Mar 29, 2021 to Mar 29, 2022
  • Individual RAUM · 207409.0 to unset
    Mar 29, 2021 to Mar 29, 2022
  • Non-discretionary RAUM · $681,909 to $0
    Mar 29, 2021 to Mar 29, 2022
  • Pension RAUM · 0.0 to unset
    Mar 29, 2021 to Mar 29, 2022
  • Pooled vehicle RAUM · 0.0 to unset
    Mar 29, 2021 to Mar 29, 2022
  • RAUM · $2.8M to $0
    Mar 29, 2021 to Mar 29, 2022
  • Accounts · 5 to 7
    Jun 30, 2020 to Mar 29, 2021
  • Advisory employees · 4 to 3
    Jun 30, 2020 to Mar 29, 2021
  • BD registered reps · 4 to 3
    Jun 30, 2020 to Mar 29, 2021
  • Employees · 4 to 3
    Jun 30, 2020 to Mar 29, 2021
  • Insurance-licensed employees · 1 to 3
    Jun 30, 2020 to Mar 29, 2021
  • Other offices · 0 to 1
    Jun 30, 2020 to Mar 29, 2021
  • Discretionary RAUM · $2.0M to $2.1M
    Jun 30, 2020 to Mar 29, 2021
  • HNW RAUM · $2.4M to $2.5M
    Jun 30, 2020 to Mar 29, 2021
  • Individual RAUM · $0 to $207,409
    Jun 30, 2020 to Mar 29, 2021
  • Non-discretionary RAUM · $468,314 to $681,909
    Jun 30, 2020 to Mar 29, 2021
  • RAUM · $2.4M to $2.8M
    Jun 30, 2020 to Mar 29, 2021
  • Accounts · unset to 5.0
    Jul 30, 2019 to Mar 31, 2020
  • Advisory employees · 0 to 4
    Jul 30, 2019 to Mar 31, 2020
  • BD registered reps · 2 to 4
    Jul 30, 2019 to Mar 31, 2020
  • Employees · 2 to 4
    Jul 30, 2019 to Mar 31, 2020
  • Insurance-licensed employees · 2 to 1
    Jul 30, 2019 to Mar 31, 2020
  • State-registered IARs · 2 to 3
    Jul 30, 2019 to Mar 31, 2020
  • Discretionary RAUM · unset to 1967378.0
    Jul 30, 2019 to Mar 31, 2020
  • HNW RAUM · $0 to $2.4M
    Jul 30, 2019 to Mar 31, 2020
  • Non-discretionary RAUM · unset to 468314.0
    Jul 30, 2019 to Mar 31, 2020
  • RAUM · unset to 2435692.0
    Jul 30, 2019 to Mar 31, 2020
  • Advisory employees · 2 to 0
    Mar 29, 2018 to Mar 29, 2019
  • Accounts · 0.0 to unset
    Mar 31, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Mar 31, 2017 to Mar 29, 2018
  • Discretionary RAUM · 0.0 to unset
    Mar 31, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 0.0
    Mar 31, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 0.0
    Mar 31, 2017 to Mar 29, 2018
  • Non-discretionary RAUM · 0.0 to unset
    Mar 31, 2017 to Mar 29, 2018
Signals
4 dated events
  • C•••• J•••• M•••• (Executive Vice President & Chief Compliance Officer) appeared on Schedule A of K••••• I••••••••• A••••••• I•••
    Apr 3, 2020 · Control person joined · fact
  • John Ronald Kovack (Chairman) no longer on Schedule A of K••••• I••••••••• A••••••• I••• (listed 2019-07-30, absent 2020-03-31)
    Mar 31, 2020 · Control person left · inference
  • Priscilla Kovack (Shareholder) appeared on Schedule A of K••••• I••••••••• A••••••• I•••
    Mar 31, 2020 · Control person joined · fact
  • K••••• I••••••••• A••••••• I••• filed its initial SEC registration (Form ADV)
    Feb 27, 2014 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026