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
P•••••• R••••• I••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 26, 2017 · 17 filings
SEC status approved since Jun 27, 2017
RAUM
$249M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$194M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$83.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$249M as of Mar 30, 2026
Feb 26, 2018$122M then
HNW client RAUM$102M as of Mar 30, 2026
Feb 26, 2018$64.9M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Feb 26, 20184 then
Employees (5.A)5 as of Mar 30, 2026
Feb 26, 20185 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $83.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $284,546derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $499MreportedItem 5.I
- Custody
- $10.9M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$102M41%
- Individuals$91.9M37%
- Charitable organizations$53.5M21%
- Corporations and businesses$1.7M0.7%
- Other investment advisers$3,1300.0%
- Individual clients
- 243reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- 13reported
- Accounts
- 876reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $249M sponsored, $249M managedreported
- Custody of client assets
- $10.9M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• N•••••••• D•••••• | Robinson, Il | Jun 27, 2017 | 21 y | 3 |
| R••• C•••••• K••• | Robinson, Il | Jun 27, 2017 | 13 y | 2 |
| P•••••• K••• | Robinson, Il | Jun 27, 2017 | 42 y | 3 |
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
- K••• N•••••••• D•••••• from S•• A•••••••• I•••Jun 27, 2017 · Other
- R••• C•••••• K••• from S•• A•••••••• I•••Jun 27, 2017 · Other
- P•••••• K••• from S•• A•••••••• I•••Jun 27, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from S•• A•••••••• I•••Dec 31, 2017 · Robinson, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• P•••••• · Managing Membercontrolsince 01/2016 · owns 75% or more
- K•••• R•••• C•••••• · Chief Compliance Officer, Membercontrolsince 04/2017 · owns less than 5%
- D••••••• K•••• N•••••••• · Membersince 04/2018 · owns less than 5%
- K•••• S•••• P•••••• · Membersince 04/2018 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Robinson, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 862 to 876Mar 28, 2025 to Mar 30, 2026
- Charity clients · 11 to 13Mar 28, 2025 to Mar 30, 2026
- HNW clients · 35 to 37Mar 28, 2025 to Mar 30, 2026
- Individual clients · 247 to 243Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $10.0M to $10.9MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $216M to $249MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $90.5M to $102MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $78.5M to $91.9MMar 28, 2025 to Mar 30, 2026
- RAUM · $216M to $249MMar 28, 2025 to Mar 30, 2026
- Wrap assets (manager) · $216M to $249MMar 28, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $216M to $249MMar 28, 2025 to Mar 30, 2026
- Accounts · 838 to 862Mar 27, 2024 to Mar 28, 2025
- HNW clients · 37 to 35Mar 27, 2024 to Mar 28, 2025
- Individual clients · 233 to 247Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $8.4M to $10.0MMar 27, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $192M to $216MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $84.7M to $90.5MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $66.8M to $78.5MMar 27, 2024 to Mar 28, 2025
- RAUM · $192M to $216MMar 27, 2024 to Mar 28, 2025
- Wrap assets (manager) · $192M to $216MMar 27, 2024 to Mar 28, 2025
- Wrap assets (sponsor) · $192M to $216MMar 27, 2024 to Mar 28, 2025
- Accounts · 817 to 838Mar 21, 2023 to Mar 27, 2024
- Charity clients · 9 to 11Mar 21, 2023 to Mar 27, 2024
- Corporate clients · 4.0 to unsetMar 21, 2023 to Mar 27, 2024
- HNW clients · 39 to 37Mar 21, 2023 to Mar 27, 2024
- Individual clients · 238 to 233Mar 21, 2023 to Mar 27, 2024
- Assets in custody · $16.7M to $8.4MMar 21, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 0Mar 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $172M to $192MMar 21, 2023 to Mar 27, 2024
- HNW RAUM · $79.1M to $84.7MMar 21, 2023 to Mar 27, 2024
- Individual RAUM · $58.4M to $66.8MMar 21, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $997,246 to $0Mar 21, 2023 to Mar 27, 2024
- RAUM · $173M to $192MMar 21, 2023 to Mar 27, 2024
- Wrap assets (manager) · $172M to $192MMar 21, 2023 to Mar 27, 2024
- Wrap assets (sponsor) · $172M to $192MMar 21, 2023 to Mar 27, 2024
- Accounts · 754 to 817Feb 18, 2022 to Mar 21, 2023
- BD registered reps · 4 to 3Feb 18, 2022 to Mar 21, 2023
- Charity clients · 6 to 9Feb 18, 2022 to Mar 21, 2023
- Corporate clients · unset to 4.0Feb 18, 2022 to Mar 21, 2023
Signals
1 dated events
- P•••••• R••••• I••••••••• L•• filed its initial SEC registration (Form ADV)May 26, 2017 · 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
- Website
- w••.o•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 618-544-9010reportedpublic record, Form ADV, Mar 30, 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
- $83.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026