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
A••••••• P•••••••• L••
Latest filing Mar 28, 2023
First filing on the tape Nov 3, 2016 · 12 filings
RAUM
$233M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$229M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
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$233M as of Mar 28, 2023
Mar 15, 2017$162M then
HNW client RAUM$222M as of Mar 28, 2023
Mar 31, 2018$186M then
State-registered IARs (5.B.3)1 as of Mar 28, 2023
Mar 15, 20171 then
Employees (5.A)3 as of Mar 28, 2023
Mar 15, 20171 then
Private funds: no history
RAUM -3.6% over the last fiscal year+3.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
- RAUM per advisor
- $233MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.9MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $10.2M, 9 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$222M95%
- Individuals$6.5M2.8%
- Charitable organizations$4.8M2.1%
- Individual clients
- 9reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 152reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.2M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- J••• D••••• K•••••• to C••••••••• W•••••• L••Dec 22, 2023 · RIA to RIA
Joined, latest
- J••• D••••• K•••••• from U•• F•••••••• S••••••• I•••Dec 12, 2016 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• J•••• D••••• · Member And Chief Compliance Officercontrolsince 12/2016 · 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 |
|---|---|---|---|---|---|
| Chicago, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 154 to 152Mar 31, 2022 to Mar 28, 2023
- HNW clients · 34 to 32Mar 31, 2022 to Mar 28, 2023
- Individual clients · 6 to 9Mar 31, 2022 to Mar 28, 2023
- Assets in custody · $26.7M to $10.2MMar 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $242M to $233MMar 31, 2022 to Mar 28, 2023
- HNW RAUM · $231M to $222MMar 31, 2022 to Mar 28, 2023
- Individual RAUM · $3.6M to $6.5MMar 31, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $508,105 to $630,173Mar 31, 2022 to Mar 28, 2023
- RAUM · $242M to $233MMar 31, 2022 to Mar 28, 2023
- Accounts · 162 to 154Mar 31, 2021 to Mar 31, 2022
- HNW clients · 31 to 34Mar 31, 2021 to Mar 31, 2022
- Individual clients · 5 to 6Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $217M to $242MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $206M to $231MMar 31, 2021 to Mar 31, 2022
- Individual RAUM · $3.3M to $3.6MMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $509,092 to $508,105Mar 31, 2021 to Mar 31, 2022
- RAUM · $217M to $242MMar 31, 2021 to Mar 31, 2022
- Accounts · 176 to 162Dec 8, 2020 to Mar 31, 2021
- Advisory employees · 1 to 2Dec 8, 2020 to Mar 31, 2021
- HNW clients · 32 to 31Dec 8, 2020 to Mar 31, 2021
- Individual clients · unset to 5.0Dec 8, 2020 to Mar 31, 2021
- Assets in custody · $28.8M to $26.7MDec 8, 2020 to Mar 31, 2021
- Employees · 2 to 3Dec 8, 2020 to Mar 31, 2021
- Financial planning clients · 26-50 to 11-25Dec 8, 2020 to Mar 31, 2021
- Discretionary RAUM · $208M to $217MDec 8, 2020 to Mar 31, 2021
- HNW RAUM · $196M to $206MDec 8, 2020 to Mar 31, 2021
- Individual RAUM · $4.2M to $3.3MDec 8, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $0 to $509,092Dec 8, 2020 to Mar 31, 2021
- RAUM · $208M to $217MDec 8, 2020 to Mar 31, 2021
- HQ city · CHICAGO to unsetJun 29, 2020 to Dec 8, 2020
- HQ state · IL to unsetJun 29, 2020 to Dec 8, 2020
- Accounts · 202 to 176Mar 28, 2019 to Mar 30, 2020
- HNW clients · 29 to 32Mar 28, 2019 to Mar 30, 2020
- Assets in custody · $26.5M to $28.8MMar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $193M to $208MMar 28, 2019 to Mar 30, 2020
- HNW RAUM · $191M to $196MMar 28, 2019 to Mar 30, 2020
- Individual RAUM · $3.2M to $4.2MMar 28, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $9.8M to $0Mar 28, 2019 to Mar 30, 2020
- RAUM · $202M to $208MMar 28, 2019 to Mar 30, 2020
- Accounts · 221 to 202Mar 31, 2018 to Mar 28, 2019
Signals
2 dated events
- J••• D••••• K•••••• left A••••••• P•••••••• L•• for C••••••••• W•••••• L•• (registered 2023-12-21)Dec 22, 2023 · Advisor changed firm · fact
- A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 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