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••••• • T•• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Aug 14, 2014 · 24 filings
SEC status approved since Apr 20, 2018
RAUM
$215M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$206M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$215M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$215M as of Mar 23, 2026
Mar 14, 2019$98.5M then
HNW client RAUM$173M as of Mar 23, 2026
Mar 14, 2019$76.1M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 14, 20192 then
Employees (5.A)4 as of Mar 23, 2026
Mar 14, 20194 then
Private funds: no history
RAUM +12% over the last fiscal year+8.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $215MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 133derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $590,406derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $160M, 123 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$173M80%
- Individuals$33.5M16%
- Pension and profit-sharing plans$7.9M3.7%
- Charitable organizations$1.2M0.5%
- Individual clients
- 75reported
- HNW clients
- 58reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 365reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $160M for 123 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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•••• A••••• K•••••• | Southbury, Ct | Sep 5, 2014 | 30 y | 3 |
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
- K•••• A••••• K•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 5, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• G••••••• J• · Owner And Chief Compliance Officercontrolsince 09/2014 · owns 50% to 75%
- K••••••• K••••• A••••• · Ownercontrolsince 09/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
- K•••••• • C••••••• P•insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 362 to 365Jan 21, 2025 to Mar 23, 2026
- Charity clients · unset to 1.0Jan 21, 2025 to Mar 23, 2026
- HNW clients · 60 to 58Jan 21, 2025 to Mar 23, 2026
- Individual clients · 71 to 75Jan 21, 2025 to Mar 23, 2026
- Pension plan clients · unset to 2.0Jan 21, 2025 to Mar 23, 2026
- Assets in custody · $87.2M to $160MJan 21, 2025 to Mar 23, 2026
- Employees · 3 to 4Jan 21, 2025 to Mar 23, 2026
- Discretionary RAUM · $180M to $206MJan 21, 2025 to Mar 23, 2026
- HNW RAUM · $156M to $173MJan 21, 2025 to Mar 23, 2026
- Individual RAUM · $28.0M to $33.5MJan 21, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $11.4M to $9.2MJan 21, 2025 to Mar 23, 2026
- Pension RAUM · $6.7M to $7.9MJan 21, 2025 to Mar 23, 2026
- RAUM · $192M to $215MJan 21, 2025 to Mar 23, 2026
- Succession · true to falseJan 21, 2025 to Mar 23, 2026
- Pension plan clients · 2.0 to unsetMar 13, 2024 to Jan 21, 2025
- Accounts · 359 to 362Mar 13, 2024 to Jan 21, 2025
- Advisory employees · 2 to 1Mar 13, 2024 to Jan 21, 2025
- Business name · K•••••• W••••• A•• T•• M••••••••• I••• to K•••••• W••••• • T•• M••••••••• L••Mar 13, 2024 to Jan 21, 2025
- Charity clients · 1.0 to unsetMar 13, 2024 to Jan 21, 2025
- HNW clients · 64 to 60Mar 13, 2024 to Jan 21, 2025
- Individual clients · 75 to 71Mar 13, 2024 to Jan 21, 2025
- Assets in custody · $110M to $87.2MMar 13, 2024 to Jan 21, 2025
- Employees · 4 to 3Mar 13, 2024 to Jan 21, 2025
- Financial planning clients · 1-10 to 0Mar 13, 2024 to Jan 21, 2025
- State-registered IARs · 2 to 1Mar 13, 2024 to Jan 21, 2025
- Legal name · K•••••• W••••• A•• T•• M••••••••• I••• to K•••••• W••••• • T•• M••••••••• L••Mar 13, 2024 to Jan 21, 2025
- Organization form · Corporation to Limited Liability CompanyMar 13, 2024 to Jan 21, 2025
- Discretionary RAUM · $186M to $180MMar 13, 2024 to Jan 21, 2025
- HNW RAUM · $163M to $156MMar 13, 2024 to Jan 21, 2025
- Individual RAUM · $26.3M to $28.0MMar 13, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $10.1M to $11.4MMar 13, 2024 to Jan 21, 2025
- Pension RAUM · $5.6M to $6.7MMar 13, 2024 to Jan 21, 2025
- RAUM · $196M to $192MMar 13, 2024 to Jan 21, 2025
- Succession · false to trueMar 13, 2024 to Jan 21, 2025
- Accounts · 343 to 359Sep 19, 2023 to Mar 13, 2024
- HNW clients · 58 to 64Sep 19, 2023 to Mar 13, 2024
- Assets in custody · $90.1M to $110MSep 19, 2023 to Mar 13, 2024
- Discretionary RAUM · $158M to $186MSep 19, 2023 to Mar 13, 2024
- HNW RAUM · $140M to $163MSep 19, 2023 to Mar 13, 2024
- Individual RAUM · $22.8M to $26.3MSep 19, 2023 to Mar 13, 2024
Signals
2 dated events
- K•••••• W••••• • T•• M••••••••• L•• reported succeeding to the business of K•••••• W••••• A•• T•• M••••••••• I••• (Form ADV Item 4)Jan 21, 2025 · Succession (Item 4) · fact
- K•••••• W••••• A•• T•• M••••••••• I••• filed its initial SEC registration (Form ADV)Aug 14, 2014 · 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
- 203-264-1200reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- K••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (203) 264-1200reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- KENNEDYWEALTH.COM/teamreportedpublished by the firm, firm site, Sep 16, 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
- $215Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026