DFX Intelligence
RIA Intelligence
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SEC-registered adviser
K••••••••• • C••
Legal name K••••••••• • C••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Jun 15, 2022 · 12 filings
SEC status approved since Jul 15, 2022
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$171M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.1M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$171M as of Mar 19, 2026
Mar 3, 2023$125M then
HNW client RAUM$154M as of Mar 19, 2026
Mar 3, 2023$108M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Mar 3, 20234 then
Employees (5.A)4 as of Mar 19, 2026
Mar 3, 20234 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $57.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $586,963derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.2%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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$154M90%
- Individuals$17.2M10%
- Individual clients
- 37reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 292reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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 |
|---|---|---|---|---|
| J••••• A•••• K••••• | New Albany, Oh | Oct 26, 2016 | 25 y | 0 |
| A•••• M•••••• G•••• | New Albany, Oh | Oct 27, 2016 | 22 y | 0 |
| J•••• P••• M••• | New Albany, Oh | Sep 4, 2022 | 14 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• A••••• M•••••• · Managing Directorcontrolsince 10/2015 · owns 75% or more
- K•••••• J•••••• A•••• · Managing Director And Chief Compliance Officercontrolsince 10/2015 · 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 |
|---|---|---|---|---|---|
| New Albany, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 279 to 292Sep 29, 2025 to Mar 19, 2026
- HNW clients · 48 to 53Sep 29, 2025 to Mar 19, 2026
- Individual clients · 44 to 37Sep 29, 2025 to Mar 19, 2026
- Discretionary RAUM · $155M to $171MSep 29, 2025 to Mar 19, 2026
- HNW RAUM · $135M to $154MSep 29, 2025 to Mar 19, 2026
- Individual RAUM · $19.9M to $17.2MSep 29, 2025 to Mar 19, 2026
- RAUM · $155M to $171MSep 29, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Mar 18, 2025 to Sep 29, 2025
- Accounts · 264 to 279Dec 12, 2024 to Mar 18, 2025
- HNW clients · 46 to 48Dec 12, 2024 to Mar 18, 2025
- Individual clients · 43 to 44Dec 12, 2024 to Mar 18, 2025
- Discretionary RAUM · $130M to $155MDec 12, 2024 to Mar 18, 2025
- HNW RAUM · $112M to $135MDec 12, 2024 to Mar 18, 2025
- Individual RAUM · $18.0M to $19.9MDec 12, 2024 to Mar 18, 2025
- RAUM · $130M to $155MDec 12, 2024 to Mar 18, 2025
- HQ city · NEWPORT BEACH to NEW ALBANYMar 28, 2024 to Dec 12, 2024
- HQ state · CA to OHMar 28, 2024 to Dec 12, 2024
- Accounts · 260 to 264Jan 10, 2024 to Mar 28, 2024
- HNW clients · 48 to 46Jan 10, 2024 to Mar 28, 2024
- Individual clients · 40 to 43Jan 10, 2024 to Mar 28, 2024
- Discretionary RAUM · $125M to $130MJan 10, 2024 to Mar 28, 2024
- HNW RAUM · $108M to $112MJan 10, 2024 to Mar 28, 2024
- Individual RAUM · $17.3M to $18.0MJan 10, 2024 to Mar 28, 2024
- RAUM · $125M to $130MJan 10, 2024 to Mar 28, 2024
- Accounts · 246 to 260Nov 2, 2022 to Mar 3, 2023
- HNW clients · 34 to 48Nov 2, 2022 to Mar 3, 2023
- Individual clients · 47 to 40Nov 2, 2022 to Mar 3, 2023
- Discretionary RAUM · $118M to $125MNov 2, 2022 to Mar 3, 2023
- HNW RAUM · $95.1M to $108MNov 2, 2022 to Mar 3, 2023
- Individual RAUM · $22.7M to $17.3MNov 2, 2022 to Mar 3, 2023
- RAUM · $118M to $125MNov 2, 2022 to Mar 3, 2023
- Employees · 2 to 4Aug 2, 2022 to Nov 2, 2022
- State-registered IARs · 2 to 4Aug 2, 2022 to Nov 2, 2022
Signals
1 dated events
- K••••••••• • C•• filed its initial SEC registration (Form ADV)Jun 15, 2022 · 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
- 614-656-3638reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.k•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (614) 656-3638reportedpublic record, Form ADV, Mar 19, 2026
- Team page
- k•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $57.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026