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••••••••• C••••••• I•••
Latest filing Sep 3, 2026
First filing on the tape Jul 25, 2017 · 27 filings
SEC status approved since Aug 24, 2017
RAUM
$377M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$372M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$377M as of Feb 5, 2026
Mar 18, 2018$135M then
HNW client RAUM$310M as of Feb 5, 2026
Mar 18, 2018$62.0M then
State-registered IARs (5.B.3)4 as of Feb 5, 2026
Mar 18, 20182 then
Employees (5.A)5 as of Feb 5, 2026
Mar 18, 20183 then
Private funds: no history
RAUM +23% over the last fiscal year+22% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Sep 3, 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
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $349,975derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%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
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $377MreportedItem 5.I
- Custody
- $39.5M, 36 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$310M82%
- Individuals$62.2M17%
- Pension and profit-sharing plans$4.1M1.1%
- Corporations and businesses$277,8650.1%
- Individual clients
- 269reported
- HNW clients
- 212reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 1,076reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $39.5M for 36 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• K•••••••••Certified Financial Planner | Cincinnati, Oh | Sep 5, 2017 | 25 y | 3 |
| B••••• S•••••• | Cincinnati, Oh | Feb 4, 2025 | 13 y | 2 |
| T•••••• J• D•••• | Cincinnati, Oh | Dec 3, 2025 | 14 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount2 left over 36 months
Left, latest
- G•••• K•••••••• P••••• to W•••••• A•••••••• L••Feb 11, 2026 · RIA to RIA
- J•••• G•••••• to W••••• E••••••••• A••••••• S•••••••• L••Sep 27, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- T•••••• J• D•••• from L••••••• A•••••••• L••Dec 3, 2025 · RIA to RIA
- B••••• S•••••• from A• W••••• M••••••••• L••Feb 4, 2025 · RIA to RIA
- J•••• G•••••• from M••••• S••••••Nov 17, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• J••••• K••••••••• from M••••• S••••••Sep 5, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• S••••••Sep 6, 2017 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• M••••••• J••••• · President, Chief Executive Officer And Chief Compliance Officercontrolsince 07/2017 · 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 |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Feb 5, 2026 to Sep 3, 2026
- Related adviser · false to unsetFeb 5, 2026 to Sep 3, 2026
- Related bank · false to unsetFeb 5, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetFeb 5, 2026 to Sep 3, 2026
- Related insurance company · false to unsetFeb 5, 2026 to Sep 3, 2026
- Succession · false to unsetFeb 5, 2026 to Sep 3, 2026
- Accounts · 1,037 to 1,076Jan 8, 2026 to Feb 5, 2026
- Advisory employees · 3 to 4Jan 8, 2026 to Feb 5, 2026
- BD registered reps · 0 to 1Jan 8, 2026 to Feb 5, 2026
- HNW clients · 219 to 212Jan 8, 2026 to Feb 5, 2026
- Individual clients · 276 to 269Jan 8, 2026 to Feb 5, 2026
- Pension plan clients · 14 to 17Jan 8, 2026 to Feb 5, 2026
- Assets in custody · $25.7M to $39.5MJan 8, 2026 to Feb 5, 2026
- Employees · 4 to 5Jan 8, 2026 to Feb 5, 2026
- Financial planning clients · 26-50 to 51-100Jan 8, 2026 to Feb 5, 2026
- State-registered IARs · 3 to 4Jan 8, 2026 to Feb 5, 2026
- Discretionary RAUM · $306M to $376MJan 8, 2026 to Feb 5, 2026
- HNW RAUM · $252M to $310MJan 8, 2026 to Feb 5, 2026
- Individual RAUM · $53.3M to $62.2MJan 8, 2026 to Feb 5, 2026
- Non-discretionary RAUM · $448,931 to $724,165Jan 8, 2026 to Feb 5, 2026
- Pension RAUM · $1.0M to $4.1MJan 8, 2026 to Feb 5, 2026
- RAUM · $307M to $377MJan 8, 2026 to Feb 5, 2026
- Accounts · 951 to 1,037Dec 12, 2024 to Feb 24, 2025
- HNW clients · 144 to 219Dec 12, 2024 to Feb 24, 2025
- Individual clients · 334 to 276Dec 12, 2024 to Feb 24, 2025
- Pension plan clients · unset to 14.0Dec 12, 2024 to Feb 24, 2025
- Assets in custody · $21.7M to $25.7MDec 12, 2024 to Feb 24, 2025
- Financial planning clients · 26-50 to 26-50Dec 12, 2024 to Feb 24, 2025
- Discretionary RAUM · $244M to $306MDec 12, 2024 to Feb 24, 2025
- HNW RAUM · $178M to $252MDec 12, 2024 to Feb 24, 2025
- Individual RAUM · $65.8M to $53.3MDec 12, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $829,526 to $448,931Dec 12, 2024 to Feb 24, 2025
- Pension RAUM · $815,205 to $1.0MDec 12, 2024 to Feb 24, 2025
- RAUM · $245M to $307MDec 12, 2024 to Feb 24, 2025
- Accounts · 870 to 951Dec 22, 2023 to Mar 14, 2024
- Advisory employees · 4 to 3Dec 22, 2023 to Mar 14, 2024
- HNW clients · 129 to 144Dec 22, 2023 to Mar 14, 2024
- Individual clients · 326 to 334Dec 22, 2023 to Mar 14, 2024
- Assets in custody · $8.2M to $21.7MDec 22, 2023 to Mar 14, 2024
- Employees · 5 to 4Dec 22, 2023 to Mar 14, 2024
Signals
3 dated events
- G•••• K•••••••• P••••• left K••••••••• C••••••• I••• for W•••••• A•••••••• L•• (registered 2026-03-16)Feb 11, 2026 · Advisor changed firm · fact
- J•••• G•••••• left K••••••••• C••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-10-11)Sep 27, 2024 · Advisor changed firm · fact
- C••••••••• C••••••• I••• filed its initial SEC registration (Form ADV)Jul 25, 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
- Business phone
- 513-808-9700reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/kleinfelder-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (513) 808-9700reportedpublic record, Form ADV, Sep 3, 2026
- Contact form
- kleinfeldercapital.com/contact.htmlreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- kleinfeldercapital.com/about/our-team.htmlreportedpublished 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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026