DFX Intelligence

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K••••• W••••• M•••••••••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $27.1M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $27.1M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +0.2%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 281729 · SEC 801-120809 · 12 filingsShow

CRD 281729SEC 801-120809Legal name K••••• W••••• M••••••••• L••First filing on the tape Mar 16, 2021, latest Mar 23, 2026SEC status approved since Apr 20, 2021IAPD

RAUM

$27.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$27.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$27.1M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM +4.3% a year over three years · the tape starts Mar 16, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$27.1M as of Mar 23, 2026

Mar 17, 2022$25.8M then

HNW client RAUM$14.3M as of Mar 23, 2026

Mar 17, 2022$14.0M then

State-registered IARs (5.B.3)1 as of Mar 23, 2026

Mar 17, 20221 then

Employees (5.A)1 as of Mar 23, 2026

Mar 17, 20221 then

Private funds: no history

RAUM +0.2% over the last fiscal year+4.3% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 23, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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, and at most 25 employees (Item 5.A)

RAUM per advisor: $27.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 60derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $193,484derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +0.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.6%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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

53% high-net-worth individuals, 47% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$14.3M53%
Individuals$12.8M47%

Individual clients: 54reported
HNW clients: 6reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 140reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

J••• E••••• S••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
May 27, 2016 · Other

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J••• E••••• S•••••	Delmar, Ny	May 27, 2016	26 y	4

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••• J•••• E••••• · President And Chief Compliance Officercontrol
since 07/2015 · owns 75% or more

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 142 to 140
Mar 3, 2025 to Mar 23, 2026
HNW clients · 7 to 6
Mar 3, 2025 to Mar 23, 2026
Discretionary RAUM · $27.0M to $27.1M
Mar 3, 2025 to Mar 23, 2026
HNW RAUM · $14.7M to $14.3M
Mar 3, 2025 to Mar 23, 2026
Individual RAUM · $12.3M to $12.8M
Mar 3, 2025 to Mar 23, 2026

Full history · 45 changes

RAUM · $27.0M to $27.1M
Mar 3, 2025 to Mar 23, 2026
Accounts · 147 to 142
Nov 20, 2024 to Mar 3, 2025
Individual clients · 56 to 54
Nov 20, 2024 to Mar 3, 2025
Financial planning clients · 11-25 to 11-25
Nov 20, 2024 to Mar 3, 2025
HQ city · unset to
Nov 20, 2024 to Mar 3, 2025
HQ state · unset to
Nov 20, 2024 to Mar 3, 2025
Discretionary RAUM · $26.3M to $27.0M
Nov 20, 2024 to Mar 3, 2025
HNW RAUM · $14.0M to $14.7M
Nov 20, 2024 to Mar 3, 2025
Individual RAUM · $12.2M to $12.3M
Nov 20, 2024 to Mar 3, 2025
RAUM · $26.3M to $27.0M
Nov 20, 2024 to Mar 3, 2025
Discretionary RAUM · $24.8M to $26.3M
Mar 6, 2024 to May 28, 2024
HNW RAUM · $13.3M to $14.0M
Mar 6, 2024 to May 28, 2024
Individual RAUM · $11.5M to $12.2M
Mar 6, 2024 to May 28, 2024
RAUM · $24.8M to $26.3M
Mar 6, 2024 to May 28, 2024
Accounts · 50 to 147
Sep 29, 2023 to Mar 6, 2024
HNW clients · 8 to 7
Sep 29, 2023 to Mar 6, 2024
Individual clients · 43 to 56
Sep 29, 2023 to Mar 6, 2024
Discretionary RAUM · $25.9M to $24.8M
Sep 29, 2023 to Mar 6, 2024
HNW RAUM · $14.3M to $13.3M
Sep 29, 2023 to Mar 6, 2024
Individual RAUM · $11.5M to $11.5M
Sep 29, 2023 to Mar 6, 2024
RAUM · $25.9M to $24.8M
Sep 29, 2023 to Mar 6, 2024
Discretionary RAUM · $23.9M to $25.9M
Mar 14, 2023 to Sep 29, 2023
HNW RAUM · $12.3M to $14.3M
Mar 14, 2023 to Sep 29, 2023
RAUM · $23.9M to $25.9M
Mar 14, 2023 to Sep 29, 2023
Accounts · 169 to 50
Dec 10, 2022 to Mar 14, 2023
Individual clients · 41 to 43
Dec 10, 2022 to Mar 14, 2023
Financial planning clients · 1-10 to 11-25
Dec 10, 2022 to Mar 14, 2023
Discretionary RAUM · $25.8M to $23.9M
Dec 10, 2022 to Mar 14, 2023
HNW RAUM · $14.0M to $12.3M
Dec 10, 2022 to Mar 14, 2023
Individual RAUM · $11.8M to $11.5M
Dec 10, 2022 to Mar 14, 2023
RAUM · $25.8M to $23.9M
Dec 10, 2022 to Mar 14, 2023
Accounts · 165 to 169
Dec 15, 2021 to Mar 17, 2022
HNW clients · 12 to 8
Dec 15, 2021 to Mar 17, 2022
Individual clients · 40 to 41
Dec 15, 2021 to Mar 17, 2022
Financial planning clients · 11-25 to 1-10
Dec 15, 2021 to Mar 17, 2022
Discretionary RAUM · $26.9M to $25.8M
Dec 15, 2021 to Mar 17, 2022
HNW RAUM · $16.9M to $14.0M
Dec 15, 2021 to Mar 17, 2022
Individual RAUM · $10.2M to $11.8M
Dec 15, 2021 to Mar 17, 2022
Non-discretionary RAUM · $317,228 to $0
Dec 15, 2021 to Mar 17, 2022
RAUM · $27.2M to $25.8M
Dec 15, 2021 to Mar 17, 2022

Signals

1 dated events

••• Locked
Mar 16, 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $27.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026