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••••• F•••••••• G•••• I•••
Latest filing Jan 30, 2024
First filing on the tape Oct 1, 2015 · 26 filings
RAUM
$386M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$380M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$386M as of Mar 28, 2023
Feb 17, 2016$166M then
HNW client RAUM$321M as of Mar 28, 2023
Mar 19, 2018$168M then
State-registered IARs (5.B.3)5 as of Mar 28, 2023
Feb 17, 20164 then
Employees (5.A)10 as of Mar 28, 2023
Feb 17, 20168 then
Private funds: no history
RAUM -7.5% over the last fiscal year+11% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jan 30, 2024; every figure names its basis
- RAUM per advisor
- $77.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $327,056derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$321M83%
- Individuals$59.4M15%
- Pension and profit-sharing plans$4.1M1.1%
- Corporations and businesses$1.2M0.3%
- Charitable organizations$256,1710.1%
- Individual clients
- 230reported
- HNW clients
- 271reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 1,179reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- J••• P•••••• K••••• to B••••• P••••• A•••••••• L••Mar 12, 2024 · RIA to RIA
- D••••• W•••• F••••••• to B••••• P••••• A•••••••• L••Mar 8, 2024 · RIA to RIA
- C•••••••• L••• W•••• to B••••• P••••• A•••••••• L••Mar 8, 2024 · RIA to RIA
- K••••••• I••• A••••••• to B••••• P••••• A•••••••• L••Mar 8, 2024 · RIA to RIA
- Z•••••• O••••• B••••• to B••••• P••••• A•••••••• L••Mar 8, 2024 · RIA to RIA
- T•••• J•••• M•••• to W•••••• P•••••• C••••••Dec 12, 2023 · RIA to RIA
- R••• Q•••• to S••••• W••••• A•••••••• I•••May 14, 2021 · Other
- C•••••• E•••••••• D•••••• to P••••••• S•••••••• G••••• L••Oct 3, 2018 · RIA to RIA
- L••• M••••• N•••• to K••••• A••••••• S•••••••• L••Aug 23, 2018 · Other
Joined, latest
- T•••• J•••• M•••• from S•• W••••• M•••••••••Aug 2, 2022 · RIA to RIA
- C•••••••• L••• W•••• from V••• F•••••••• A•••••••• I•••Feb 2, 2021 · Affiliated broker-dealer or bank to independent RIA
- R••• Q•••• from F•••••••• G••••• I••••••••• M••••••••• C••••Nov 17, 2020 · Other
- D••••• W•••• F••••••• from L•• F•••••••• L••Nov 21, 2015 · Other
- K••••••• I••• A••••••• from L•• F•••••••• L••Nov 21, 2015 · Other
- L••• M••••• N•••• from L•• F•••••••• L••Nov 21, 2015 · Other
- J••• P•••••• K••••• from L•• F•••••••• L••Nov 13, 2015 · Other
- C•••••• E•••••••• D•••••• from L•• F•••••••• L••Nov 13, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for B••••• P••••• A•••••••• L••Mar 8, 2024 · Columbia, Md · Firm absorbed
- 5 joined from L•• F•••••••• L••Nov 19, 2015 · Columbia, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• J•••• P•••••• · President/Chief Compliance Officercontrolsince 11/2015 · 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 |
|---|---|---|---|---|---|
| Columbia, Md · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 982 to 1,179Aug 30, 2022 to Mar 28, 2023
- Advisory employees · 5 to 6Aug 30, 2022 to Mar 28, 2023
- BD registered reps · 4 to 5Aug 30, 2022 to Mar 28, 2023
- Charity clients · 5 to 2Aug 30, 2022 to Mar 28, 2023
- Corporate clients · 1 to 3Aug 30, 2022 to Mar 28, 2023
- HNW clients · 174 to 271Aug 30, 2022 to Mar 28, 2023
- Individual clients · 275 to 230Aug 30, 2022 to Mar 28, 2023
- Pension plan clients · 6 to 2Aug 30, 2022 to Mar 28, 2023
- Insurance-licensed employees · 4 to 5Aug 30, 2022 to Mar 28, 2023
- State-registered IARs · 4 to 5Aug 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $417M to $386MAug 30, 2022 to Mar 28, 2023
- HNW RAUM · $321M to $321MAug 30, 2022 to Mar 28, 2023
- Individual RAUM · $86.8M to $59.4MAug 30, 2022 to Mar 28, 2023
- Pension RAUM · $7.8M to $4.1MAug 30, 2022 to Mar 28, 2023
- RAUM · $417M to $386MAug 30, 2022 to Mar 28, 2023
- Accounts · 830 to 982Sep 15, 2021 to Mar 14, 2022
- Charity clients · unset to 5.0Sep 15, 2021 to Mar 14, 2022
- Corporate clients · unset to 1.0Sep 15, 2021 to Mar 14, 2022
- HNW clients · 157 to 174Sep 15, 2021 to Mar 14, 2022
- Individual clients · 265 to 275Sep 15, 2021 to Mar 14, 2022
- Pension plan clients · unset to 6.0Sep 15, 2021 to Mar 14, 2022
- Assets in custody · 122354409.0 to unsetSep 15, 2021 to Mar 14, 2022
- Custody of client assets · true to falseSep 15, 2021 to Mar 14, 2022
- Employees · 11 to 10Sep 15, 2021 to Mar 14, 2022
- Discretionary RAUM · $342M to $417MSep 15, 2021 to Mar 14, 2022
- HNW RAUM · $257M to $321MSep 15, 2021 to Mar 14, 2022
- Individual RAUM · $84.1M to $86.8MSep 15, 2021 to Mar 14, 2022
- Pension RAUM · unset to 7781761.0Sep 15, 2021 to Mar 14, 2022
- RAUM · $342M to $417MSep 15, 2021 to Mar 14, 2022
- Accounts · 784 to 830Oct 12, 2020 to Mar 23, 2021
- HNW clients · 131 to 157Oct 12, 2020 to Mar 23, 2021
- Individual clients · 266 to 265Oct 12, 2020 to Mar 23, 2021
- Assets in custody · $104M to $122MOct 12, 2020 to Mar 23, 2021
- Discretionary RAUM · $285M to $342MOct 12, 2020 to Mar 23, 2021
- HNW RAUM · $195M to $257MOct 12, 2020 to Mar 23, 2021
- Individual RAUM · $89.0M to $84.1MOct 12, 2020 to Mar 23, 2021
- RAUM · $285M to $342MOct 12, 2020 to Mar 23, 2021
- Accounts · 752 to 784Mar 25, 2019 to Mar 25, 2020
- Advisory employees · 4 to 5Mar 25, 2019 to Mar 25, 2020
- BD registered reps · 3 to 4Mar 25, 2019 to Mar 25, 2020
Signals
8 dated events
- J••• P•••••• K••••• left K••••• F•••••••• G•••• I••• for B••••• P••••• A•••••••• L•• (registered 2024-02-20)Mar 12, 2024 · Advisor changed firm · fact
- D••••• W•••• F••••••• left K••••• F•••••••• G•••• I••• for B••••• P••••• A•••••••• L•• (registered 2024-03-01)Mar 8, 2024 · Advisor changed firm · fact
- C•••••••• L••• W•••• left K••••• F•••••••• G•••• I••• for B••••• P••••• A•••••••• L•• (registered 2024-03-01)Mar 8, 2024 · Advisor changed firm · fact
- Z•••••• O••••• B••••• left K••••• F•••••••• G•••• I••• for B••••• P••••• A•••••••• L•• (registered 2024-02-29)Mar 8, 2024 · Advisor changed firm · fact
- K••••••• I••• A••••••• left K••••• F•••••••• G•••• I••• for B••••• P••••• A•••••••• L•• (registered 2024-03-06)Mar 8, 2024 · Advisor changed firm · fact
- K••••• F•••••••• G•••• I•••'s advisors moved to B••••• P••••• A•••••••• L•• (Columbia, MD): 5 of 5 registered, within 4 daysMar 8, 2024 · Firm absorbed (people side) · derived
- T•••• J•••• M•••• left K••••• F•••••••• G•••• I••• for W•••••• P•••••• C•••••• (registered 2024-02-22)Dec 12, 2023 · Advisor changed firm · fact
- K•••••• F•••••••• G•••• L•• filed its initial SEC registration (Form ADV)Oct 1, 2015 · 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.
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