DFX Intelligence

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K••• F••••••••

Independent wealth managerSEC-registered· Waterville, New Yorkwebsite

Independent wealth manager, based in Waterville, New York, reporting $75.2M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $75.2M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +33%
Private clients: 98% of RAUM, $73.6M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-03-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +33% over the last fiscal year, to $75.2M.
2026-03-12
RAUM a year earlier $56.6MRAUM now $75.2M
RAUM (Item 5.F) moved from $56,644,536 to $75,174,312 (+33.0%) between the annual amendments of 2025-02-20 and 2026-03-12; the peer median change was +8.0% (217 comparable advisers, 94.0th percentile of changes)
2026-03-12
RAUM (Item 5.F) 75174312Peer median 0.0848924182947116
4 published business contact points are on record, each with its source.
Contact points 4

Every filed figure, and the identifiersCRD 291231 · SEC 801-122385 · 11 filingsShow

CRD 291231SEC 801-122385Legal name K••• F••••••••• L••First filing on the tape Aug 25, 2021, latest Mar 12, 2026SEC status approved since Sep 24, 2021IAPD

RAUM

$75.2M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

98%

$73.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$37.6M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$75.2M as of Mar 12, 2026

Mar 17, 2022$32.0M then

HNW client RAUM$23.9M as of Mar 12, 2026

Mar 17, 2022$3.8M then

State-registered IARs (5.B.3)2 as of Mar 12, 2026

Mar 17, 20221 then

Employees (5.A)4 as of Mar 12, 2026

Mar 17, 20222 then

Private funds: no history

RAUM +33% over the last fiscal year+26% a year over threeIARs 1 to 2

Practice profile

derived from the filing of Mar 12, 2026; every figure names its basis

Archetypes, each a printed rule

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
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $37.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 148derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $117,828derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +33%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: -16%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody: $16.5M, 83 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

Individuals$49.7M66%
High-net-worth individuals$23.9M32%
Pension and profit-sharing plans$871,0521.2%
Charitable organizations$709,9390.9%

Individual clients: 276reported
HNW clients: 20reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 638reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $16.5M for 83 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
C•••••• P•••• K•••	Waterville, Ny	Feb 7, 2019	19 y	0
D••••••• K••• H••••••	Pittsford, Ny	Jun 26, 2025	12 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K•••• C••••••• P•••• · Principal, Ccocontrol
since 11/2017 · 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
Waterville, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 25 %Change between filings · filing Mar 12, 2026
RAUM (Item 5.F) moved from $56,644,536 to $75,174,312 (+33.0%) between the annual amendments of 2025-02-20 and 2026-03-12; the peer median change was +8.0% (217 comparable advisers, 94.0th percentile of changes)
peers: independent wealth managers, under $100M (217) · 94% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 560 to 638
Jun 26, 2025 to Mar 12, 2026
Advisory employees · 1 to 2
Jun 26, 2025 to Mar 12, 2026
HNW clients · 15 to 20
Jun 26, 2025 to Mar 12, 2026
Individual clients · 336 to 276
Jun 26, 2025 to Mar 12, 2026
Employees · 3 to 4
Jun 26, 2025 to Mar 12, 2026
State-registered IARs · 1 to 2
Jun 26, 2025 to Mar 12, 2026
Discretionary RAUM · $56.1M to $74.3M
Jun 26, 2025 to Mar 12, 2026
HNW RAUM · $16.1M to $23.9M
Jun 26, 2025 to Mar 12, 2026
Individual RAUM · $39.6M to $49.7M
Jun 26, 2025 to Mar 12, 2026
Non-discretionary RAUM · $539,832 to $871,052
Jun 26, 2025 to Mar 12, 2026
Pension RAUM · $539,832 to $871,052
Jun 26, 2025 to Mar 12, 2026
RAUM · $56.6M to $75.2M
Jun 26, 2025 to Mar 12, 2026
Financial planning clients · 101-250 to 101-250
Feb 20, 2025 to Jun 26, 2025
Accounts · 506 to 560
Feb 27, 2024 to Feb 20, 2025
HNW clients · 6 to 15
Feb 27, 2024 to Feb 20, 2025
Individual clients · 239 to 336
Feb 27, 2024 to Feb 20, 2025
Assets in custody · $12.6M to $16.5M
Feb 27, 2024 to Feb 20, 2025
Employees · 2 to 3
Feb 27, 2024 to Feb 20, 2025
Discretionary RAUM · $44.3M to $56.1M
Feb 27, 2024 to Feb 20, 2025
HNW RAUM · $7.9M to $16.1M
Feb 27, 2024 to Feb 20, 2025
Individual RAUM · $36.0M to $39.6M
Feb 27, 2024 to Feb 20, 2025
Non-discretionary RAUM · $87,519 to $539,832
Feb 27, 2024 to Feb 20, 2025
Pension RAUM · unset to 539832.0
Feb 27, 2024 to Feb 20, 2025
RAUM · $44.4M to $56.6M
Feb 27, 2024 to Feb 20, 2025
Accounts · 233 to 506
Sep 19, 2023 to Feb 27, 2024
HNW clients · 16 to 6
Sep 19, 2023 to Feb 27, 2024
Individual clients · 215 to 239
Sep 19, 2023 to Feb 27, 2024
Assets in custody · $9.2M to $12.6M
Sep 19, 2023 to Feb 27, 2024
Discretionary RAUM · $37.2M to $44.3M
Sep 19, 2023 to Feb 27, 2024
HNW RAUM · $13.0M to $7.9M
Sep 19, 2023 to Feb 27, 2024
Individual RAUM · $23.8M to $36.0M
Sep 19, 2023 to Feb 27, 2024
Non-discretionary RAUM · $0 to $87,519
Sep 19, 2023 to Feb 27, 2024
RAUM · $37.2M to $44.4M
Sep 19, 2023 to Feb 27, 2024
Accounts · 404 to 233
Apr 19, 2022 to Mar 13, 2023
HNW clients · unset to 16.0
Apr 19, 2022 to Mar 13, 2023
Individual clients · 248 to 215
Apr 19, 2022 to Mar 13, 2023
Assets in custody · $6.6M to $9.2M
Apr 19, 2022 to Mar 13, 2023
Discretionary RAUM · $31.7M to $37.2M
Apr 19, 2022 to Mar 13, 2023
HNW RAUM · $3.8M to $13.0M
Apr 19, 2022 to Mar 13, 2023
Individual RAUM · $28.2M to $23.8M
Apr 19, 2022 to Mar 13, 2023

Signals

5 dated events

••• Locked
Mar 12, 2026 · ria indirect owner change · fact
••• Locked
Mar 12, 2026 · ria majority owner change · fact
••• Locked
Mar 12, 2026 · ria principal change · fact
••• Locked
Mar 12, 2026 · ria ownership band change · fact
••• Locked
Aug 25, 2021 · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 12, 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: $37.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026