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••••••• F•••••••• S•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Aug 20, 2024 · 6 filings
SEC status approved since Sep 19, 2024
RAUM
$165M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
90%
$149M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$82.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$165M as of Mar 27, 2026
May 22, 2025$113M then
HNW client RAUM$70.0M as of Mar 27, 2026
May 22, 2025$55.3M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
May 22, 20251 then
Employees (5.A)2 as of Mar 27, 2026
May 22, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 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
- RAUM per advisor
- $82.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 345derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $147,864derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$78.6M48%
- High-net-worth individuals$70.0M42%
- Corporations and businesses$14.1M8.5%
- Charitable organizations$2.8M1.7%
- Individual clients
- 620reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 1,119reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 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 |
|---|---|---|---|---|
| T•••••• J•• K••••••• | New Castle, Pa | Dec 5, 2018 | 31 y | 3 |
| J•••• S•••• H•••••••Certified Financial Planner | New Castle, Pa | Feb 28, 2025 | 15 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
- J•••• S•••• H••••••• from F••••••••• I••••••••• A••••••• L••Feb 28, 2025 · RIA to RIA
- T•••••• J•• K••••••• from M•••••• A••••• S••••••••• L••Dec 5, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• T••••••• J•• · President And Ccocontrolsince 11/2004 · 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 |
|---|---|---|---|---|---|
| New Castle, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,109 to 1,119Dec 8, 2025 to Mar 27, 2026
- Advisory employees · 1 to 2Dec 8, 2025 to Mar 27, 2026
- Charity clients · 3 to 2Dec 8, 2025 to Mar 27, 2026
- Corporate clients · 10 to 13Dec 8, 2025 to Mar 27, 2026
- HNW clients · 84 to 69Dec 8, 2025 to Mar 27, 2026
- Individual clients · 689 to 620Dec 8, 2025 to Mar 27, 2026
- Employees · 1 to 2Dec 8, 2025 to Mar 27, 2026
- State-registered IARs · 1 to 2Dec 8, 2025 to Mar 27, 2026
- Discretionary RAUM · $111M to $164MDec 8, 2025 to Mar 27, 2026
- HNW RAUM · $55.3M to $70.0MDec 8, 2025 to Mar 27, 2026
- Individual RAUM · $49.3M to $78.6MDec 8, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $2.0M to $1.4MDec 8, 2025 to Mar 27, 2026
- RAUM · $113M to $165MDec 8, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 11-25May 22, 2025 to Jul 30, 2025
- Accounts · 909 to 1,109Sep 18, 2024 to May 22, 2025
- Charity clients · unset to 3.0Sep 18, 2024 to May 22, 2025
- HNW clients · 64 to 84Sep 18, 2024 to May 22, 2025
- Individual clients · 618 to 689Sep 18, 2024 to May 22, 2025
- Other offices · 0 to 1Sep 18, 2024 to May 22, 2025
- Discretionary RAUM · $102M to $111MSep 18, 2024 to May 22, 2025
- HNW RAUM · $45.5M to $55.3MSep 18, 2024 to May 22, 2025
- Individual RAUM · $51.5M to $49.3MSep 18, 2024 to May 22, 2025
- Non-discretionary RAUM · $2.4M to $2.0MSep 18, 2024 to May 22, 2025
- RAUM · $104M to $113MSep 18, 2024 to May 22, 2025
Signals
1 dated events
- K••••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Aug 20, 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 phone
- 412-331-2778reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 724-667-1617reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 724-863-5005reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- k•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 724-667-1617reportedpublic record, Form ADV, Mar 27, 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
- $82.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026