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••••• F•••••••• A•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Aug 20, 2018 · 34 filings
SEC status approved since Sep 21, 2018
RAUM
$896M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$731M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$89.6M
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$896M as of Mar 11, 2026
Mar 27, 2019$131M then
HNW client RAUM$585M as of Mar 11, 2026
Mar 27, 2019$34.9M then
State-registered IARs (5.B.3)10 as of Mar 11, 2026
Mar 27, 20195 then
Employees (5.A)10 as of Mar 11, 2026
Mar 27, 20197 then
Private funds: no history
RAUM +15% over the last fiscal year+19% a year over threeIARs 10 to 10offices 3 to 2
Practice profile
derived from the filing of Mar 11, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $89.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 220derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $408,351derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.3derived3 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
- +133%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $262M, 356 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$585M65%
- Pension and profit-sharing plans$165M18%
- Individuals$146M16%
- Individual clients
- 1,997reported
- HNW clients
- 198reported
- Pension plan clients
- 77reported
- Charitable clients
- 0reported
- Accounts
- 2,195reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $262M for 356 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• R••••• F•••••• | Fairfield, Nj | Oct 12, 2018 | 41 y | 4 |
| S••••• M••• S•••••••• | Fairfield, Nj | Oct 31, 2018 | 15 y | 1 |
| S••••• H••••• M•••• | Fairfield, Nj | Oct 31, 2018 | 12 y | 2 |
| R•••••• A•••••• F•••• | Fairfield, Nj | Oct 31, 2018 | 41 y | 2 |
| J••• D•••• O•••• | Fairfield, Nj | Oct 31, 2018 | 38 y | 5 |
| C•••••••• R•••••• G••••• | Fairfield, Nj | Nov 1, 2018 | 16 y | 1 |
| R••••• C•••••• M••••• | Fairfield, Nj | Mar 5, 2019 | 34 y | 5 |
| A•••••••• D••••• O••••••Certified Financial Planner | Fairfield, Nj | Jul 9, 2020 | 13 y | 2 |
| C••••••••• T•••••••• | Fairfield, Nj | Sep 14, 2022 | 12 y | 0 |
| R•••• C••••• L••••• | Fairfield, Nj | Mar 13, 2024 | 14 y | 1 |
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 headcount1 left over 36 months
Left, latest
- M•••••• A••••• R••••• to P•••• S••••••••• L••Jan 8, 2024 · RIA to affiliated broker-dealer or bank
- G•••••• T•••••••• to R••••• I••••••••• A•••••••• I••Jun 14, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- R•••• C••••• L••••• from J••• M••••• S••••••••• L••Mar 13, 2024 · Wirehouse to independent RIA
- M•••••• A••••• R••••• from J••• M••••• S••••••••• L••Nov 16, 2022 · Wirehouse to independent RIA
- G•••••• T•••••••• from C•••••• S••••• • C••• I•••Apr 30, 2021 · Affiliated broker-dealer or bank to independent RIA
- A•••••••• D••••• O•••••• from R••••• I••••••••• A•••••••• I••Jul 9, 2020 · Affiliated broker-dealer or bank to independent RIA
- R••••• C•••••• M••••• from R••••• I••••••••• A•••••••• I••Mar 5, 2019 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• R•••••• G••••• from W•••• F•••• A•••••••Nov 1, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••••• M••• S•••••••• from W•••• F•••• A•••••••Oct 31, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••••• H••••• M•••• from W•••• F•••• A•••••••Oct 31, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R•••••• A•••••• F•••• from W•••• F•••• A•••••••Oct 31, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• D•••• O•••• from R••••• I••••••••• A•••••••• I••Oct 31, 2018 · Other
- E••• R••••• F•••••• from K•• C••••• F•••••••• A•••••••• L••Oct 12, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from W•••• F•••• A•••••••Oct 15, 2018 · Fairfield, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• E•••• R••••• · Membercontrolsince 07/2018 · owns 50% to 75%
- F••••• R••••••• A•••••• · Chief Compliance Officer And Membercontrolsince 07/2018 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Fairfield, Nj · principal | 10 | 0 | 0 | ||
| Bonita Springs, Fl | 2 | 0 | 0 | ||
| Secaucus, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fairfield, NJ2 employees
- Oradell, NJ1 employees
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 11, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-04-22, no on the filing of 2026-03-11peers: independent wealth managers, $500M to $1B (1,482)
- account count surgeChange between filings · filing Mar 11, 2026accounts (Item 5.F.2.f) moved from 874.0 to 2,195.0 (+151.0%) between the annual amendments of 2025-04-22 and 2026-03-11; the peer median change was +6.0% (1256 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 98% percentile
- c••••• count surgeChange between filings · filing Mar 11, 2026individual and HNW clients (Item 5.D) moved from 944.0 to 2,195.0 (+133.0%) between the annual amendments of 2025-04-22 and 2026-03-11; the peer median change was +5.0% (1216 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 874 to 2,195Apr 22, 2025 to Mar 11, 2026
- HNW clients · 174 to 198Apr 22, 2025 to Mar 11, 2026
- Individual clients · 770 to 1,997Apr 22, 2025 to Mar 11, 2026
- Pension plan clients · 71 to 77Apr 22, 2025 to Mar 11, 2026
- Assets in custody · $47.7M to $262MApr 22, 2025 to Mar 11, 2026
- Financial planning clients · 26-50 to 51-100Apr 22, 2025 to Mar 11, 2026
- Other offices · 3 to 2Apr 22, 2025 to Mar 11, 2026
- Discretionary RAUM · $782M to $896MApr 22, 2025 to Mar 11, 2026
- HNW RAUM · $487M to $585MApr 22, 2025 to Mar 11, 2026
- Individual RAUM · $141M to $146MApr 22, 2025 to Mar 11, 2026
- Pension RAUM · $155M to $165MApr 22, 2025 to Mar 11, 2026
- RAUM · $782M to $896MApr 22, 2025 to Mar 11, 2026
- Accounts · 817 to 874Feb 27, 2025 to Apr 22, 2025
- Advisory activities · 5 to 3Feb 27, 2025 to Apr 22, 2025
- HNW clients · 163 to 174Feb 27, 2025 to Apr 22, 2025
- Individual clients · 654 to 770Feb 27, 2025 to Apr 22, 2025
- Pension plan clients · 64 to 71Feb 27, 2025 to Apr 22, 2025
- Assets in custody · $77.0M to $47.7MFeb 27, 2025 to Apr 22, 2025
- Financial planning clients · 26-50 to 26-50Feb 27, 2025 to Apr 22, 2025
- Discretionary RAUM · $636M to $782MFeb 27, 2025 to Apr 22, 2025
- HNW RAUM · $431M to $487MFeb 27, 2025 to Apr 22, 2025
- Individual RAUM · $73.4M to $141MFeb 27, 2025 to Apr 22, 2025
- Pension RAUM · $131M to $155MFeb 27, 2025 to Apr 22, 2025
- RAUM · $636M to $782MFeb 27, 2025 to Apr 22, 2025
- BD registered reps · 6 to 0Apr 15, 2024 to Jun 18, 2024
- Advisory employees · 11 to 10Mar 28, 2024 to Apr 15, 2024
- Employees · 11 to 10Mar 28, 2024 to Apr 15, 2024
- State-registered IARs · 11 to 10Mar 28, 2024 to Apr 15, 2024
- Accounts · 719 to 817Jan 8, 2024 to Mar 26, 2024
- BD registered reps · 7 to 6Jan 8, 2024 to Mar 26, 2024
- HNW clients · 133 to 163Jan 8, 2024 to Mar 26, 2024
- Individual clients · 586 to 654Jan 8, 2024 to Mar 26, 2024
- Pension plan clients · 66 to 64Jan 8, 2024 to Mar 26, 2024
- Assets in custody · $33.0M to $77.0MJan 8, 2024 to Mar 26, 2024
- Discretionary RAUM · $526M to $636MJan 8, 2024 to Mar 26, 2024
- HNW RAUM · $353M to $431MJan 8, 2024 to Mar 26, 2024
- Individual RAUM · $65.3M to $73.4MJan 8, 2024 to Mar 26, 2024
- Pension RAUM · $108M to $131MJan 8, 2024 to Mar 26, 2024
- RAUM · $526M to $636MJan 8, 2024 to Mar 26, 2024
- Advisory employees · 12 to 11Sep 14, 2023 to Jan 8, 2024
Signals
5 dated events
- M•••••• A••••• R••••• left K•• C••••• F•••••••• A•••••••• L•• for P•••• S••••••••• L•• (registered 2024-01-16)Jan 8, 2024 · Advisor changed firm · fact
- G•••••• T•••••••• left K•• C••••• F•••••••• A•••••••• L•• for R••••• I••••••••• A•••••••• I•• (registered 2021-05-04)Jun 14, 2022 · Advisor changed firm · fact
- K•• C••••• F•••••••• A•••••••• L•• reported RAUM $499.3M, up 28% from $389.1M (2022-02-25 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- K•• C••••• F•••••••• A•••••••• L•• reported RAUM $389.1M, up 180% from $139.2M (2020-12-10 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- K•• C••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 20, 2018 · 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
- info@k•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 973-244-4140reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- keyclientfa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-244-4142reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- keyclientfa.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- keyclientfa.com/about-us/our-teamreportedpublished 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
- $89.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026