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••••••• H•••• C•••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 12, 2024 · 5 filings
SEC status approved since Mar 13, 2024
RAUM
$382M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$367M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$191M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$382M as of Mar 24, 2026
Feb 17, 2025$310M then
HNW client RAUM$351M as of Mar 24, 2026
Feb 17, 2025$287M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Feb 17, 20252 then
Employees (5.A)2 as of Mar 24, 2026
Feb 17, 20252 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $191MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -28%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$351M92%
- Individuals$16.0M4.2%
- Corporations and businesses$10.5M2.7%
- Charitable organizations$4.5M1.2%
- Individual clients
- 90reported
- HNW clients
- 166reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 263reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 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•••• P••• L••••••• | Bratenahl, Oh | Feb 2, 2015 | 13 y | 1 |
| Z•••••• J••••• P••• | Broadview Heights, Oh | Aug 10, 2020 | 10 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
none on the tape
Joined, latest
- J•••• P••• L••••••• from J••••• M••••••••• S•••• L••Feb 2, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• J••••• P••• · Ceo, Cio And Chief Compliance Officercontrolsince 11/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 24, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $310,255,000 to $382,000,000, advisors 2 to 2, private clients 355 to 256, offices 0 to 0 (2025-02-17 to 2026-03-24)peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 363 to 263Feb 17, 2025 to Mar 24, 2026
- Charity clients · 3 to 4Feb 17, 2025 to Mar 24, 2026
- Corporate clients · 5 to 3Feb 17, 2025 to Mar 24, 2026
- HNW clients · 295 to 166Feb 17, 2025 to Mar 24, 2026
- Individual clients · 60 to 90Feb 17, 2025 to Mar 24, 2026
- Discretionary RAUM · $310M to $382MFeb 17, 2025 to Mar 24, 2026
- HNW RAUM · $287M to $351MFeb 17, 2025 to Mar 24, 2026
- Individual RAUM · $15.5M to $16.0MFeb 17, 2025 to Mar 24, 2026
- RAUM · $310M to $382MFeb 17, 2025 to Mar 24, 2026
- Accounts · 253 to 363Mar 26, 2024 to Feb 17, 2025
- Charity clients · unset to 3.0Mar 26, 2024 to Feb 17, 2025
- Corporate clients · 3 to 5Mar 26, 2024 to Feb 17, 2025
- HNW clients · 150 to 295Mar 26, 2024 to Feb 17, 2025
- Individual clients · 100 to 60Mar 26, 2024 to Feb 17, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Feb 17, 2025
- Discretionary RAUM · $152M to $310MMar 26, 2024 to Feb 17, 2025
- HNW RAUM · $140M to $287MMar 26, 2024 to Feb 17, 2025
- Individual RAUM · $12.0M to $15.5MMar 26, 2024 to Feb 17, 2025
- RAUM · $152M to $310MMar 26, 2024 to Feb 17, 2025
Signals
2 dated events
- K••••••• H•••• C•••••• M••••••••• L•• reported RAUM $310.3M, up 104% from $152.2M (2024-03-26 to 2025-02-17)Feb 17, 2025 · RAUM change · derived
- K••••••• H•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 12, 2024 · 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•••••••H••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 440-477-8913reportedpublic record, Form ADV, Mar 24, 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
- $191Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026