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•••• • C•••••••• L••
Latest filing Nov 21, 2024
First filing on the tape Aug 24, 2016 · 23 filings
SEC status approved since Sep 1, 2016
RAUM
$407M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$407M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$407M as of Jan 23, 2024
Mar 2, 2017$271M then
HNW client RAUM$340M as of Jan 23, 2024
Feb 14, 2018$172M then
State-registered IARs (5.B.3)2 as of Jan 23, 2024
Mar 2, 20172 then
Employees (5.A)3 as of Jan 23, 2024
Mar 2, 20174 then
Private funds: no history
RAUM +12% over the last fiscal year+2.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 21, 2024; every figure names its basis
- RAUM per advisor
- $204MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $465,391derivedRAUM 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
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $125M, 149 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$340M84%
- Individuals$66.7M16%
- Individual clients
- 121reported
- HNW clients
- 116reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 875reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $125M for 149 clientsreported
- Compensation
- % of AUMreported
- 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
- H••••• A••••• K•••• to M••••• G••••• A••••••• I•••Jan 27, 2025 · RIA to RIA
- S•••••• N••• C••••••• to M••••• G••••• A••••••• I•••Jan 27, 2025 · RIA to RIA
Joined, latest
- S•••••• N••• C••••••• from K•••• F•••••••• I••Mar 9, 2017 · Other
- H••••• A••••• K•••• from K•••• F•••••••• I••Mar 9, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K•••• F•••••••• I••Dec 31, 2016 · Lafayette Hill, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• S••••••• N••• · Member And Chief Compliance Officercontrolsince 08/2016 · owns less than 5%
- K••••• H•••••• A••••• · Member And Chief Investment Officercontrolsince 08/2016 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Berwyn, Pa · principal | 0 | 0 | 0 | ||
| Boca Raton, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 3 to 2Jan 23, 2024 to Oct 16, 2024
- Accounts · 889 to 875Feb 10, 2023 to Jan 23, 2024
- HNW clients · 150 to 116Feb 10, 2023 to Jan 23, 2024
- Individual clients · 116 to 121Feb 10, 2023 to Jan 23, 2024
- Assets in custody · $42.3M to $125MFeb 10, 2023 to Jan 23, 2024
- Discretionary RAUM · $363M to $407MFeb 10, 2023 to Jan 23, 2024
- HNW RAUM · $298M to $340MFeb 10, 2023 to Jan 23, 2024
- Individual RAUM · $64.4M to $66.7MFeb 10, 2023 to Jan 23, 2024
- RAUM · $363M to $407MFeb 10, 2023 to Jan 23, 2024
- Accounts · 824 to 889Nov 4, 2022 to Feb 9, 2023
- HNW clients · 146 to 150Nov 4, 2022 to Feb 9, 2023
- Individual clients · 83 to 116Nov 4, 2022 to Feb 9, 2023
- Assets in custody · $32.0M to $42.3MNov 4, 2022 to Feb 9, 2023
- Financial planning clients · 101-250 to 0Nov 4, 2022 to Feb 9, 2023
- Discretionary RAUM · $421M to $363MNov 4, 2022 to Feb 9, 2023
- HNW RAUM · $383M to $298MNov 4, 2022 to Feb 9, 2023
- Individual RAUM · $38.3M to $64.4MNov 4, 2022 to Feb 9, 2023
- RAUM · $421M to $363MNov 4, 2022 to Feb 9, 2023
- HQ city · RADNOR to BERWYNMar 3, 2022 to Jul 6, 2022
- Accounts · 875 to 824Jan 27, 2021 to Mar 2, 2022
- HNW clients · 126 to 146Jan 27, 2021 to Mar 2, 2022
- Individual clients · 114 to 83Jan 27, 2021 to Mar 2, 2022
- Assets in custody · $17.8M to $32.0MJan 27, 2021 to Mar 2, 2022
- Employees · 2 to 3Jan 27, 2021 to Mar 2, 2022
- Financial planning clients · 0 to 101-250Jan 27, 2021 to Mar 2, 2022
- Other offices · 1 to 2Jan 27, 2021 to Mar 2, 2022
- Discretionary RAUM · $378M to $421MJan 27, 2021 to Mar 2, 2022
- HNW RAUM · $320M to $383MJan 27, 2021 to Mar 2, 2022
- Individual RAUM · $58.4M to $38.3MJan 27, 2021 to Mar 2, 2022
- RAUM · $378M to $421MJan 27, 2021 to Mar 2, 2022
- Accounts · 864 to 875Jun 26, 2020 to Jan 26, 2021
- HNW clients · 100 to 126Jun 26, 2020 to Jan 26, 2021
- Individual clients · 151 to 114Jun 26, 2020 to Jan 26, 2021
- Assets in custody · $10.3M to $17.8MJun 26, 2020 to Jan 26, 2021
- Other offices · 0 to 1Jun 26, 2020 to Jan 26, 2021
- Discretionary RAUM · $335M to $378MJun 26, 2020 to Jan 26, 2021
- HNW RAUM · $264M to $320MJun 26, 2020 to Jan 26, 2021
- Individual RAUM · $71.2M to $58.4MJun 26, 2020 to Jan 26, 2021
- RAUM · $335M to $378MJun 26, 2020 to Jan 26, 2021
- Accounts · 880 to 864Feb 21, 2019 to Jan 27, 2020
Signals
4 dated events
- K•••• • C•••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $407.2M)Feb 3, 2025 · Left the SEC roster · derived
- H••••• A••••• K•••• left K•••• • C•••••••• L•• for M••••• G••••• A••••••• I••• (registered 2024-10-30)Jan 27, 2025 · Advisor changed firm · fact
- S•••••• N••• C••••••• left K•••• • C•••••••• L•• for M••••• G••••• A••••••• I••• (registered 2024-10-25)Jan 27, 2025 · Advisor changed firm · fact
- K•••• • C•••••••• L•• filed its initial SEC registration (Form ADV)Aug 24, 2016 · 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