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
A•••••• • C••• I•••
Latest filing Feb 25, 2026
First filing on the tape Jan 16, 2026 · 2 filings
SEC status approved since Jan 26, 2026
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$117M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$23.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$117M as of Feb 25, 2026
Jan 16, 2026$111M then
HNW client RAUM$35.0M as of Feb 25, 2026
Jan 16, 2026$35.0M then
State-registered IARs (5.B.3)5 as of Feb 25, 2026
Jan 16, 20265 then
Employees (5.A)5 as of Feb 25, 2026
Jan 16, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $23.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $137,647derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $117MreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$82.0M70%
- High-net-worth individuals$35.0M30%
- Individual clients
- 320reported
- HNW clients
- 35reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 850reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•• A••••• A•••••• | Gig Harbor, Wa | Jun 28, 2019 | 45 y | 0 |
| K••• D•••• A•••••••• | Gig Harbor, Wa | Jul 22, 2021 | 11 y | 1 |
| M•••••• P••••• S•••••• | Corona, Ca | Oct 5, 2021 | 13 y | 0 |
| A••••• J•••• A•••••• | Gig Harbor, Wa | Mar 16, 2022 | 13 y | 0 |
| C•••••• P•••••• | Long Beach, Ca | Nov 7, 2024 | 10 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 headcount1 left over 36 months
Left, latest
- D••••• M•••••• M•••••• to P••••••••• C•••••• A•••••••Apr 3, 2024 · RIA to RIA
Joined, latest
- K••• D•••• A•••••••• from U••• B•••••• I••••••••• I•••Jul 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- D••••• M•••••• M•••••• from L••••••• S••••••••• C••••Jul 19, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• K••• A••••• · President, Sole Shareholder, Chief Compliance Officercontrolsince 06/1983 · owns 75% or more
- A••••••••• K•••• D•••• · Chief Investment Officercontrolsince 04/2024 · 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 |
|---|---|---|---|---|---|
| Gig Harbor, Wa | 4 | 0 | 0 | ||
| Corona, Ca | 2 | 0 | 0 | ||
| Spokane, Wa | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 859 to 850Jan 16, 2026 to Feb 25, 2026
- Individual clients · 285 to 320Jan 16, 2026 to Feb 25, 2026
- Discretionary RAUM · $111M to $117MJan 16, 2026 to Feb 25, 2026
- Individual RAUM · $76.0M to $82.0MJan 16, 2026 to Feb 25, 2026
- RAUM · $111M to $117MJan 16, 2026 to Feb 25, 2026
Signals
3 dated events
- Shawn Lawrence Connolly no longer registered at A•••••• • C••• I•••; no later IA registration on IAPDAug 29, 2024 · Advisor departure · fact
- D••••• M•••••• M•••••• left A•••••• • C••• I••• for P••••••••• C•••••• A••••••• (registered 2024-03-11)Apr 3, 2024 · Advisor changed firm · fact
- Christine Marie Everett - Frantonius no longer registered at A•••••• • C••• I•••; no later IA registration on IAPDNov 23, 2022 · Advisor departure · 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
- a••••••@a••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a••••@a••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-222-0251reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 253-851-7486reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 509-299-8085reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (253) 851-7486reportedpublic record, Form ADV, Feb 25, 2026
- Team page
- a••••••••.comreportedpublished 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
- $23.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026