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
F•••••• P•••
Legal name F•••••• P••• A•••••••• I•••
Latest filing Jul 1, 2026
First filing on the tape Feb 27, 2020 · 21 filings
SEC status approved since Jun 26, 2020
RAUM
$80.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$80.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$26.7M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$80.1M as of Jul 1, 2026
Feb 2, 2021$62.2M then
HNW client RAUM$0 as of Jul 1, 2026
Feb 2, 2021$0 then
State-registered IARs (5.B.3)3 as of Jul 1, 2026
Feb 2, 20213 then
Employees (5.A)5 as of Jul 1, 2026
Feb 2, 20214 then
Private funds: no history
RAUM -16% over the last fiscal year-3.6% a year over threeIARs 4 to 3offices 2 to 4
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $26.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 212derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $125,767derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
- Individuals$80.1M100%
- Individual clients
- 637reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 637reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A••••• K••••• | Bohemia, Ny | Jun 1, 2017 | 32 y | 0 |
| J••••• C•••••••• | Bohemia, Ny | Jun 5, 2017 | 15 y | 0 |
| A••••• L•••••• K••••• | Bohemia, Ny | Jan 31, 2023 | 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 headcount2 left over 36 months
Left, latest
- K•••• D•••••• B••••• to S••••Sep 11, 2025 · RIA to RIA
- T••• A•••••••• B••••• to H•••••• T••••••• • K•••• L••May 6, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- K•••• D•••••• B••••• from N••••••• L••Jul 24, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• M••••••• A••••• · Chairman/Ceocontrolsince 01/2016 · owns 75% or more
- R••••••• S••••• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
Related persons
Schedule D 7.A
- R•••••••• A••••••• L•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bohemia, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Manassas, VA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 1, 2026discretionary share of RAUM of 0% against a peer median of 100% (310 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (310) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 858 to 637Nov 13, 2025 to Mar 12, 2026
- Advisory employees · 4 to 3Nov 13, 2025 to Mar 12, 2026
- Individual clients · 846 to 637Nov 13, 2025 to Mar 12, 2026
- Employees · 4 to 5Nov 13, 2025 to Mar 12, 2026
- State-registered IARs · 4 to 3Nov 13, 2025 to Mar 12, 2026
- Other offices · 2 to 4Nov 13, 2025 to Mar 12, 2026
- Individual RAUM · $95.5M to $80.1MNov 13, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $95.5M to $80.1MNov 13, 2025 to Mar 12, 2026
- RAUM · $95.5M to $80.1MNov 13, 2025 to Mar 12, 2026
- Accounts · 846 to 858Feb 20, 2025 to Mar 25, 2025
- Business name · F•••••• P••• A•••••••• I••• to F•••••• P•••Feb 20, 2025 to Mar 25, 2025
- Financial planning clients · unset to Feb 20, 2025 to Mar 25, 2025
- Other offices · 1 to 2Feb 20, 2025 to Mar 25, 2025
- Individual RAUM · $95.5M to $95.5MFeb 20, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $95.5M to $95.5MFeb 20, 2025 to Mar 25, 2025
- RAUM · $95.5M to $95.5MFeb 20, 2025 to Mar 25, 2025
- HQ city · to BOHEMIAJan 13, 2025 to Feb 20, 2025
- HQ state · to NYJan 13, 2025 to Feb 20, 2025
- Advisory employees · 5 to 4May 21, 2024 to Jan 13, 2025
- Employees · 5 to 4May 21, 2024 to Jan 13, 2025
- HQ city · unset to May 21, 2024 to Jan 13, 2025
- HQ state · unset to May 21, 2024 to Jan 13, 2025
- State-registered IARs · 5 to 4May 21, 2024 to Jan 13, 2025
- Individual RAUM · $90.9M to $95.5MMay 21, 2024 to Jan 13, 2025
- Non-discretionary RAUM · $90.9M to $95.5MMay 21, 2024 to Jan 13, 2025
- RAUM · $90.9M to $95.5MMay 21, 2024 to Jan 13, 2025
- Accounts · 814 to 846Sep 25, 2023 to Feb 15, 2024
- Individual clients · 814 to 846Sep 25, 2023 to Feb 15, 2024
- Individual RAUM · $89.3M to $90.9MSep 25, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $89.3M to $90.9MSep 25, 2023 to Feb 15, 2024
- RAUM · $89.3M to $90.9MSep 25, 2023 to Feb 15, 2024
- Accounts · 700 to 814Feb 8, 2023 to Mar 27, 2023
- Individual clients · 700 to 814Feb 8, 2023 to Mar 27, 2023
- Pension plan clients · 1 to 0Feb 8, 2023 to Mar 27, 2023
- HQ city · BOHEMIA to unsetFeb 8, 2023 to Mar 27, 2023
- HQ state · NY to unsetFeb 8, 2023 to Mar 27, 2023
- Individual RAUM · $86.4M to $89.3MFeb 8, 2023 to Mar 27, 2023
- Non-discretionary RAUM · $87.3M to $89.3MFeb 8, 2023 to Mar 27, 2023
- Pension RAUM · $842,457 to $0Feb 8, 2023 to Mar 27, 2023
- RAUM · $87.3M to $89.3MFeb 8, 2023 to Mar 27, 2023
Signals
4 dated events
- K•••• D•••••• B••••• left F•••••• P••• for Savvy (registered 2025-08-29)Sep 11, 2025 · Advisor changed firm · fact
- S••••• R•••••• (Chief Compliance Officer) appeared on Schedule A of F•••••• P•••May 21, 2024 · Control person joined · fact
- T••• A•••••••• B••••• left F•••••• P••• for H•••••• T••••••• • K•••• L•• (registered 2024-07-03)May 6, 2024 · Advisor changed firm · fact
- F•••••• P••• A•••••••• I••• filed its initial SEC registration (Form ADV)Feb 27, 2020 · 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
- 631-750-6496reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 631-750-6499reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (631) 750-6499reportedpublic record, Form ADV, Jul 1, 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
- $26.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026