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.
SEC-registered adviser
Daniel Krug & Associates
Legal name Daniel Krug & Associates, Inc.
Latest filing Mar 25, 2026
First filing on the tape May 30, 2024 · 3 filings
SEC status approved since Jun 27, 2024
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.6M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$145M as of Mar 25, 2026
Mar 21, 2025$131M then
HNW client RAUM$101M as of Mar 25, 2026
Mar 21, 2025$74.7M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 21, 20252 then
Employees (5.A)7 as of Mar 25, 2026
Mar 21, 20256 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $72.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $128,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $125M, 141 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
- is an insurance broker or agent (6.A.6)
- 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$101M70%
- Individuals$44.0M30%
- Individual clients
- 137reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,128reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $25.5M managedreported
- Custody of client assets
- $125M for 141 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Rocky Harold John Istvan | Clarkston, Mi | Jan 9, 2019 | 18 y | 2 |
| Daniel Martin Krug | Clarkston, Mi | Jan 9, 2019 | 22 y | 2 |
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
- Rocky Harold John Istvan from Global Financial Private Capital, Inc.Jan 9, 2019 · RIA to RIA
- Daniel Martin Krug from Global Financial Private Capital, Inc.Jan 9, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Global Financial Private Capital, Inc.Dec 31, 2019 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Harold John Rocky Istvan · Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- Martin Daniel Krug · Chief Executive Officercontrolsince 03/2004 · 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 |
|---|---|---|---|---|---|
| Clarkston, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,004 to 1,128Mar 21, 2025 to Mar 25, 2026
- HNW clients · 40 to 55Mar 21, 2025 to Mar 25, 2026
- Individual clients · 178 to 137Mar 21, 2025 to Mar 25, 2026
- Assets in custody · $26.3M to $125MMar 21, 2025 to Mar 25, 2026
- Employees · 6 to 7Mar 21, 2025 to Mar 25, 2026
- Discretionary RAUM · $131M to $145MMar 21, 2025 to Mar 25, 2026
- HNW RAUM · $74.7M to $101MMar 21, 2025 to Mar 25, 2026
- Individual RAUM · $56.2M to $44.0MMar 21, 2025 to Mar 25, 2026
- RAUM · $131M to $145MMar 21, 2025 to Mar 25, 2026
- Wrap assets (manager) · $26.7M to $25.5MMar 21, 2025 to Mar 25, 2026
- Accounts · 773 to 1,004May 30, 2024 to Mar 21, 2025
- Advisory activities · 6 to 5May 30, 2024 to Mar 21, 2025
- HNW clients · 35 to 40May 30, 2024 to Mar 21, 2025
- Individual clients · 168 to 178May 30, 2024 to Mar 21, 2025
- Assets in custody · unset to 26339736.0May 30, 2024 to Mar 21, 2025
- Custody of client assets · false to trueMay 30, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250May 30, 2024 to Mar 21, 2025
- Discretionary RAUM · $117M to $131MMay 30, 2024 to Mar 21, 2025
- HNW RAUM · $64.4M to $74.7MMay 30, 2024 to Mar 21, 2025
- Individual RAUM · $52.2M to $56.2MMay 30, 2024 to Mar 21, 2025
- RAUM · $117M to $131MMay 30, 2024 to Mar 21, 2025
- Wrap assets (manager) · $26.6M to $26.7MMay 30, 2024 to Mar 21, 2025
Signals
1 dated events
- Daniel Krug & Associates filed its initial SEC registration (Form ADV)May 30, 2024 · 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
- clientservices@mydkna.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 248-625-2788reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 248-625-7432reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-471-9080reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- mydkna.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 248-625-2788reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- mydkna.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- mydkna.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
- $72.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026