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••••• A••••••• S•••••••• L••

Broker-dealer affiliated wealth managerAustin, TexasCRD 283330SEC 801-56126websiteIAPD
Latest filing Aug 20, 2026
First filing on the tape Apr 7, 2016 · 62 filings
SEC status approved since Dec 31, 1998
RAUM
$80B
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
89%
$71B individuals and HNW
Advisors
1,440
registered through the firm on IAPD
RAUM per advisor
$55.4M
derived; firm RAUM over IAPD count
Employees
1,359
1,359 advisory (5.B.1)
Offices
544
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$80B as of Aug 20, 2026
Mar 31, 2017$16B then
HNW client RAUM$47B as of Aug 20, 2026
Mar 29, 2018$12B then
State-registered IARs (5.B.3)1,315 as of Aug 20, 2026
Mar 31, 20171,189 then
Employees (5.A)1,359 as of Aug 20, 2026
Mar 31, 20171,207 then
Private funds: no history
RAUM +33% over the last fiscal year+24% a year over threeIARs 1,226 to 1,315
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$55.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
80derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$414,667derivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.9derivedItem 5.A over advisors
Advisors per office
2.7derived545 offices incl. principal (1.F.5)
RAUM growth, one year
+33%derivedbetween the last two annual amendments
Advisor growth, one year
+7.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+20%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
2,000reportedItem 5.H
Wrap fee program
$14BreportedItem 5.I
Custody
$62B, 98,168 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months
2derivedhalf or more of a firm's advisors moved here within 14 days
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$47B59%
  • Individuals$25B31%
  • Pension and profit-sharing plans$6.3B7.9%
  • Corporations and businesses$1.8B2.2%
  • Charitable organizations$292M0.4%
  • Insurance companies$66.3M0.1%
Individual clients
89,162reported
HNW clients
26,123reported
Pension plan clients
785reported
Charitable clients
248reported
Accounts
192,439reported
Financial planning clients
2,000reported
Wrap fee programs
$8.3B sponsored, $0 managedreported
Custody of client assets
$62B for 98,168 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.89 fund_share=0.0 institutional_share=0.08 related_bd=true related_bank=false bd_reps=1322.0derived
Advisors registered through the firm
1,445 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••••• A•••• V•••••Vadnais Heights, MnApr 18, 201630 y0
J••• K•••• P••••••••San Mateo, CaApr 18, 201618 y1
S•••••• M••• M•••Austin, TxApr 18, 201639 y0
R•••••• C•••••••• C••••Severna Park, MdApr 18, 201630 y1
T••••• G•••• P••••••Tyler, TxApr 18, 201634 y0
D•••••• O••• A•••••••Chartered Financial ConsultantWilmette, Il Apr 18, 201634 y1
B••••• T•••••• P••••••Irvince, Ca Apr 18, 201620 y1
R••••• G•••••• S•••••••West Hartford, CtApr 18, 201642 y0
R•••••• D••••• G•••Certified Financial PlannerKalamazoo, MiApr 18, 201647 y1
T••• K•••• A•••••Chartered Financial ConsultantAustin, TxApr 18, 201629 y1
A•••••• E••••• G•••••Jamison, Pa Apr 18, 201614 y0
R••••• C••••••••• L••••••••Certified Financial PlannerAustin, Tx Apr 18, 201624 y2
A•••• M• I••••••Timonium, MdApr 18, 201613 y0
K••• R•••••• G••••G••••Sburg, Pa Apr 18, 201634 y2
F•••• J••••• E•••••••••Pleasant Hill, Ca Apr 18, 201627 y0
M•• L••• A•Certified Financial PlannerG••••Ville, Sc Apr 18, 201626 y3
B••••••• A••••• B••••••••Austin, Tx Apr 18, 201612 y0
G••••• D•••• A••••••••Chartered Financial ConsultantSan D••••, CaApr 18, 201642 y1
R••••• E• M•••••••••Rockford, IlApr 18, 201637 y2
S•••• D•••••• O•••••Certified Financial PlannerAustin, Tx Apr 18, 201632 y1
D•••• S•••• A••••Personal Financial SpecialistEllicott City, MdApr 18, 201631 y1
A••••• H••• P••••••B•••Esda, Md Apr 18, 201631 y1
S•••• T•••• O••••••Certified Financial PlannerSan Jose, Ca Apr 18, 201629 y1
A•••••• J••• C••••Lutherville, MdApr 18, 201626 y1
J••• A••••• H•••••Austin, Tx Apr 18, 201629 y0
W•••••• R••••• G•••Austin, Tx Apr 18, 201628 y0
R••••• A• B••••••Chartered Financial ConsultantHighland Park, Il Apr 18, 201644 y1
M•••• L•• P••••••Certified Financial PlannerBurr Ridge, Il Apr 18, 201640 y2
D•••••• F•••• G•••••Certified Financial PlannerAustin, Tx Apr 18, 201630 y3
M•••••• D•••• A••Amarillo, TxApr 18, 201623 y2
D••••• A••• G•••••Chartered Financial ConsultantPleasant Hill, Ca Apr 18, 201623 y1
K•••••• D••• A•••••••Chartered Financial ConsultantAustin, Tx Apr 18, 201640 y2
K•••• L••• E••••••Austin, Tx Apr 18, 201627 y0
T••• J••••• G•••••Austin, Tx Apr 18, 201632 y2
B•••• R•••••• J•••••Bradenton, FlApr 18, 201619 y1
B•••• D•••• A••••••••Aliso Viejo, Ca Apr 18, 201616 y1
P•••••• M••••••••Clinton, Ct Apr 18, 201632 y2
M•••••• O••••••B•••Esda, MdApr 18, 201623 y0
M•••• L•••• N••••Edina, Mn Apr 18, 201633 y0
C•••• A•••• E•••••Waitsfield, VtApr 18, 201639 y1
All 1,445 advisors at K••••• A••••••• S•••••••• L••
Advisor movement
100 left, 157 joined in 12 months
net +57 in 12 months25 left in 90 days38 joined in 90 daysdeparture rate 6.9% of current headcount315 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••• J•••• V•••••• · Presidentcontrol
    since 04/2025 · owns less than 5%
  • B••••••• J•••• V•• · Svp, Chief Financial Officercontrol
    since 10/2016 · owns less than 5%
  • C••••••• K••••••• L•••••• · Chief Operating Officercontrol
    since 03/2018 · owns less than 5%
  • K•••• V•••• · Evp, Chief Digital Technology Officercontrol
    since 08/2024 · owns less than 5%
  • L•••••••• S••••••• R•••••• · Presidentcontrol
    since 03/2021 · owns less than 5%
  • P•••••• M••••••• R••• · Evp, Chief Compliance Officercontrol
    since 04/2015 · owns less than 5%
  • S••••••••• M•••• P••• · Evp, A•••••• Eng•••Mentcontrol
    since 07/2017 · owns less than 5%
  • X•••••• A•••••• D•••• · Evp, C••••• Experience Officercontrol
    since 09/2025 · owns less than 5%
  • Z•••••• S••••• M•••••• · Chief Financial Officercontrol
    since 12/2024 · owns less than 5%
  • D•••••• J••••••• · Head Of Cybersecurity And Technology Risk
    since 07/2023 · owns less than 5%
  • N••••••• R•••••• B•••• · Evp, General Counsel
    since 04/2016 · owns less than 5%
  • Y••• Y•• · Controller Officer
    since 09/2007 · owns less than 5%
Entity owners
  • K••••• F••••••••• I••• · Managing Member
    direct · owns 75% or more
  • K••••• A•••••• S••••••• H••••••• A• I•• · Owner
    indirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• B• I••
  • K••••• A•••••• S••••••• H••••••• B• I•• · Owner
    indirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• C• I••
  • K••••• A•••••• S••••••• H••••••• C• I•• · Owner
    indirect · owns 75% or more of K••••• F••••••••• I•••
  • K••••••••• H•••••• A• I••• · Owner
    indirect · owns 75% or more of K••••••••• H•••••• B• I•••
  • K••••••••• H•••••• B• I••• · Owner
    indirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• A• I••
  • K••••••••• H•••••• G•• L•• · General Partner
    indirect · owns F of K••••••••• H••••••• L•••
  • K••••••••• H••••••• L••• · Owner
    indirect · owns 75% or more of K••••••••• H•••••• A• I•••
  • O•• H••• C•••••• P••••••• V• ••••••••• L••• · Owner
    indirect · owns 25% to 50% of O••• V• E••• A••••••••• L•••
  • O•• H••• C•••••• P••••••• V• •• 8•••• L••• · Owner
    indirect · owns 25% to 50% of O••• V• E••• A••••••••• L•••
  • O••• V• E••• A••••••••• L••• · Owner
    indirect · owns 25% to 50% of K••••••••• H••••••• L•••
  • W•••••• P••••• F•••••••• S•••••• L••• · Limited Partner
    indirect · owns 25% to 50% of K••••••••• H••••••• L•••
Related persons
Schedule D 7.A
Advisers that list K••••• A••••••• S•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Austin, Tx · principal1,195216435
Port Jefferson, Ny3360
Orlando, Fl2411
New York, Ny2130
Pittsburgh, Pa2061
Boca Raton, Fl1800
Fort Worth, Tx1831
Plymouth, Mn1840
Southbury, Ct17211
Fairfield, Nj1711
Melbourne, Fl1600
Timonium, Md1620
Frede•••K, Md1630
Dallas, Tx14031
S••••Sd•••, Az1420
R••••••Son, Tx1360
Burr Ridge, Il1320
Freehold, Nj1360
W••••, Pa1310
Atlanta, Ga1200
Post-acquisition retention
advisors of absorbed firms still registered here after the move
Firms absorbed
4 since 2015, 2 in 24 monthsderived
Advisors acquired
15derived
Still registered after 90 days
93% of 15derived
After 180 days
93% of 15derived
After 365 days
100% of 12derived
After 730 days
100% of 9derived
Team lift-outs after
60derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices
Schedule D 1.F, the 25 largest
  • Pt. Jefferson, NY23 employees
  • Plymouth, MN22 employees
  • C••••••••, NC21 employees
  • B•••Esda, MD20 employees
  • Kalamazoo, MI15 employees
  • Paramus, NJ15 employees
  • Orlando, FL14 employees
  • Fairfield, NJ14 employees
  • Encino, CA14 employees
  • Pittsburgh, PA13 employees
  • Wichita, KS13 employees
  • Frede•••K, MD12 employees
  • Timonium, MD12 employees
  • Timonium, MD12 employees
  • Burr Ridge, IL11 employees
  • Austin, TX10 employees
  • Nashville, IL10 employees
  • South Burl•••Ton, VT10 employees
  • Fort W••••, IN10 employees
  • Phoenix, AZ10 employees
  • Dallas, TX9 employees
  • L••••Ville, KY9 employees
  • Tyler, TX9 employees
  • Kings Park, NY9 employees
  • New York, NY9 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
  • control person changedChange between filings · filing Aug 20, 2026
    Z•••••• S••••• M•••••• (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2024-09-26 and 2026-08-20
    peers: affiliated wealth managers, $20B and over (50)
  • control person changedChange between filings · filing Aug 20, 2026
    X•••••• A•••••• D•••• (EVP, C••••• EXPERIENCE OFFICER) appeared on Schedule A between the filings of 2024-09-26 and 2026-08-20
    peers: affiliated wealth managers, $20B and over (50)
  • control person changedChange between filings · filing Aug 20, 2026
    B••••••• J•••• V•• (SVP, CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-09-26 and 2026-08-20
    peers: affiliated wealth managers, $20B and over (50)
  • control person changedChange between filings · filing Aug 20, 2026
    L•••••••• S••••••• R•••••• (PRESIDENT) left Schedule A between the filings of 2024-09-26 and 2026-08-20
    peers: affiliated wealth managers, $20B and over (50)
  • control person changedChange between filings · filing Aug 20, 2026
    P•••••• M••••••• R••• (EVP, CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-09-26 and 2026-08-20
    peers: affiliated wealth managers, $20B and over (50)
  • control person changedChange between filings · filing Aug 20, 2026
    C••••••• K••••••• L•••••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-09-26 and 2026-08-20
    peers: affiliated wealth managers, $20B and over (50)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 155,482 to 192,439
    Jan 29, 2026 to Mar 31, 2026
  • Advisory employees · 1,299 to 1,359
    Jan 29, 2026 to Mar 31, 2026
  • BD registered reps · 1,262 to 1,322
    Jan 29, 2026 to Mar 31, 2026
  • Charity clients · 276 to 248
    Jan 29, 2026 to Mar 31, 2026
  • Corporate clients · 954 to 1,062
    Jan 29, 2026 to Mar 31, 2026
  • HNW clients · 21,632 to 26,123
    Jan 29, 2026 to Mar 31, 2026
  • Individual clients · 74,548 to 89,162
    Jan 29, 2026 to Mar 31, 2026
  • Pension plan clients · 256 to 785
    Jan 29, 2026 to Mar 31, 2026
  • Assets in custody · $48B to $62B
    Jan 29, 2026 to Mar 31, 2026
  • Employees · 1,299 to 1,359
    Jan 29, 2026 to Mar 31, 2026
  • Insurance-licensed employees · 24 to 19
    Jan 29, 2026 to Mar 31, 2026
  • State-registered IARs · 1,226 to 1,315
    Jan 29, 2026 to Mar 31, 2026
  • Discretionary RAUM · $45B to $62B
    Jan 29, 2026 to Mar 31, 2026
  • HNW RAUM · $38B to $47B
    Jan 29, 2026 to Mar 31, 2026
  • Individual RAUM · $19B to $25B
    Jan 29, 2026 to Mar 31, 2026
  • Non-discretionary RAUM · $16B to $18B
    Jan 29, 2026 to Mar 31, 2026
  • Pension RAUM · $955M to $6.3B
    Jan 29, 2026 to Mar 31, 2026
  • RAUM · $60B to $80B
    Jan 29, 2026 to Mar 31, 2026
  • Wrap assets (sponsor) · $5.6B to $8.3B
    Jan 29, 2026 to Mar 31, 2026
  • Accounts · 140,425 to 155,482
    Feb 24, 2025 to Apr 14, 2025
  • Advisory employees · 1,266 to 1,299
    Feb 24, 2025 to Apr 14, 2025
  • BD registered reps · 1,246 to 1,262
    Feb 24, 2025 to Apr 14, 2025
  • Charity clients · 148 to 276
    Feb 24, 2025 to Apr 14, 2025
  • Corporate clients · 847 to 954
    Feb 24, 2025 to Apr 14, 2025
  • HNW clients · 13,369 to 21,632
    Feb 24, 2025 to Apr 14, 2025
  • Individual clients · 75,554 to 74,548
    Feb 24, 2025 to Apr 14, 2025
  • Pension plan clients · 349 to 256
    Feb 24, 2025 to Apr 14, 2025
  • Assets in custody · $17B to $48B
    Feb 24, 2025 to Apr 14, 2025
  • Employees · 1,266 to 1,299
    Feb 24, 2025 to Apr 14, 2025
  • Financial planning clients · More than 500 to More than 500
    Feb 24, 2025 to Apr 14, 2025
  • State-registered IARs · 1,210 to 1,226
    Feb 24, 2025 to Apr 14, 2025
  • Discretionary RAUM · $35B to $45B
    Feb 24, 2025 to Apr 14, 2025
  • HNW RAUM · $27B to $38B
    Feb 24, 2025 to Apr 14, 2025
  • Individual RAUM · $19B to $19B
    Feb 24, 2025 to Apr 14, 2025
  • Non-discretionary RAUM · $13B to $16B
    Feb 24, 2025 to Apr 14, 2025
  • Pension RAUM · $858M to $955M
    Feb 24, 2025 to Apr 14, 2025
  • RAUM · $48B to $60B
    Feb 24, 2025 to Apr 14, 2025
  • Wrap assets (sponsor) · $4.0B to $5.6B
    Feb 24, 2025 to Apr 14, 2025
  • Accounts · 140,407 to 140,425
    Feb 14, 2024 to Mar 28, 2024
  • Advisory employees · 1,311 to 1,266
    Feb 14, 2024 to Mar 28, 2024
Signals
60 dated events
  • James Mason Waninger added a IN registration at K••••• A••••••• S•••••••• L••
    Sep 15, 2026 · a•••••• state registration added · fact
  • Madeline Dauby added a IN registration at K••••• A••••••• S•••••••• L••
    Sep 15, 2026 · a•••••• state registration added · fact
  • James Mason Waninger added a TX registration at K••••• A••••••• S•••••••• L••
    Sep 15, 2026 · a•••••• state registration added · fact
  • Madeline Dauby added a TX registration at K••••• A••••••• S•••••••• L••
    Sep 15, 2026 · a•••••• state registration added · fact
  • James Jerome S•••• added a IN registration at K••••• A••••••• S•••••••• L••
    Sep 15, 2026 · a•••••• state registration added · fact
  • James Jerome S•••• added a KY registration at K••••• A••••••• S•••••••• L••
    Sep 15, 2026 · a•••••• state registration added · fact
  • James Jerome S•••• added a TX registration at K••••• A••••••• S•••••••• L••
    Sep 15, 2026 · a•••••• state registration added · fact
  • C•••• J••• R••••••• left K••••• A••••••• S•••••••• L•• for C••••••••• F•••••••• P••••••• (registered 2026-08-31)
    Aug 28, 2026 · a•••••• firm change · fact
  • C•••••• P•••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-08-24)
    Aug 25, 2026 · a•••••• firm change · fact
  • 2 advisors left C••••• I••••••••• A••••••• L•• (ST Louis, MO) for K••••• A••••••• S•••••••• L•• within 3 days
    Aug 24, 2026 · Team lift-out · derived
  • K•••••• D••• M••••• left K••••• A••••••• S•••••••• L•• for P••••••••• B•••••••• S•••••••• I••• (registered 2026-09-03)
    Aug 21, 2026 · a•••••• firm change · fact
  • 2 advisors left C••••••••• F•••••••• N•••••• (San D••••, CA) for K••••• A••••••• S•••••••• L•• on the same day
    Aug 20, 2026 · Team lift-out · derived
  • W•••••• M•••••• L••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-08-11)
    Aug 12, 2026 · a•••••• firm change · fact
  • 4 advisors left C••••• I••••••••• A••••••• L•• (Fairview Hghts, IL) for K••••• A••••••• S•••••••• L•• within 13 days
    Aug 12, 2026 · Team lift-out · derived
  • 2 advisors left C••••••••• F•••••••• N•••••• (Clayton, MO) for K••••• A••••••• S•••••••• L•• on the same day
    Aug 11, 2026 · Team lift-out · derived
  • J••••••• P••••• left K••••• A••••••• S•••••••• L•• for O•••• W•••••• I••• (registered 2026-08-07)
    Aug 7, 2026 · a•••••• firm change · fact
  • 2 advisors left N•••••• A••••••• (New Orleans, LA) for K••••• A••••••• S•••••••• L•• on the same day
    Aug 4, 2026 · Team lift-out · derived
  • S•••••• L•• C•••• left K••••• A••••••• S•••••••• L•• for T•• A••••••••• L•• (registered 2026-08-25)
    Jul 28, 2026 · a•••••• firm change · fact
  • 2 advisors left B•• P•••••••• I••• (Cedar Rapids, IA) for K••••• A••••••• S•••••••• L•• on the same day
    Jul 28, 2026 · Team lift-out · derived
  • S••••• S••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2026-09-02)
    Jul 21, 2026 · a•••••• firm change · fact
  • R•••••• A••• F••••• left K••••• A••••••• S•••••••• L•• for O•••• W•••••• I••• (registered 2026-07-21)
    Jul 21, 2026 · a•••••• firm change · fact
  • K••• W•••••• W•••••• left K••••• A••••••• S•••••••• L•• for M•••• F•••••••• A••••••• (registered 2026-07-17)
    Jul 21, 2026 · a•••••• firm change · fact
  • R••• J•••••• S••• left K••••• A••••••• S•••••••• L•• for M•••• F•••••••• A••••••• (registered 2026-07-17)
    Jul 21, 2026 · a•••••• firm change · fact
  • N••• D••••• G••••••• left K••••• A••••••• S•••••••• L•• for M•••• F•••••••• A••••••• (registered 2026-07-17)
    Jul 21, 2026 · a•••••• firm change · fact
  • 2 advisors left K••••• A••••••• S•••••••• L•• (Towson, MD) for M•••• F•••••••• A••••••• on the same day
    Jul 21, 2026 · Team lift-out · derived
  • L•• N•••••• F•••••• left K••••• A••••••• S•••••••• L•• for E•••••• F•••••••• E•••••• (registered 2026-07-21)
    Jul 20, 2026 · a•••••• firm change · fact
  • J••••• P• Q•••• left K••••• A••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-07-17)
    Jul 17, 2026 · a•••••• firm change · fact
  • J•••• C•••••••• R•••• left K••••• A••••••• S•••••••• L•• for C•••••• (registered 2026-07-28)
    Jul 14, 2026 · a•••••• firm change · fact
  • B• F•••• V•••• left K••••• A••••••• S•••••••• L•• for C•••••• (registered 2026-08-18)
    Jul 14, 2026 · a•••••• firm change · fact
  • K•••••••• A•• R•••••••• left K••••• A••••••• S•••••••• L•• for C•••••• (registered 2026-07-27)
    Jul 14, 2026 · a•••••• firm change · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Firm profile
linkedin.com/company/kestra-financialreportedpublic record, Form ADV, Sep 18, 2026
Website
K•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
8445537872reportedpublic record, Form ADV, Aug 20, 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
Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$55.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026