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••••••• W••••• M•••••••••
Legal name K••••••• W••••• M••••••••• I•••
Latest filing Jun 5, 2026
First filing on the tape Apr 23, 2024 · 5 filings
SEC status approved since Sep 30, 2025
RAUM
$137M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
88%
$120M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$137M as of Jun 5, 2026
Sep 18, 2025$130M then
HNW client RAUM$73.6M as of Jun 5, 2026
Sep 18, 2025$64.1M then
State-registered IARs (5.B.3)1 as of Jun 5, 2026
Sep 18, 20251 then
Employees (5.A)2 as of Jun 5, 2026
Sep 18, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 207derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $257,764derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $7.2M, 9 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
- High-net-worth individuals$73.6M54%
- Individuals$46.8M34%
- Pension and profit-sharing plans$17.0M12%
- Individual clients
- 164reported
- HNW clients
- 43reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 533reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.2M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• B••••• | Waterloo, Ia | Jun 4, 2019 | 28 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
- D•••• M•••••• B••••• from C••••• A••••••• L••Jun 4, 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
- B•••••• D••••• M•••••• · Chief Compliance Officercontrolsince 05/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 545 to 533Jan 2, 2026 to Feb 17, 2026
- HNW clients · 34 to 43Jan 2, 2026 to Feb 17, 2026
- Individual clients · 177 to 164Jan 2, 2026 to Feb 17, 2026
- Assets in custody · unset to 7233911.0Jan 2, 2026 to Feb 17, 2026
- Custody of client assets · false to trueJan 2, 2026 to Feb 17, 2026
- Financial planning clients · 1-10 to 11-25Jan 2, 2026 to Feb 17, 2026
- Other offices · 0 to 1Jan 2, 2026 to Feb 17, 2026
- Discretionary RAUM · $114M to $120MJan 2, 2026 to Feb 17, 2026
- HNW RAUM · $64.1M to $73.6MJan 2, 2026 to Feb 17, 2026
- Individual RAUM · $50.1M to $46.8MJan 2, 2026 to Feb 17, 2026
- Non-discretionary RAUM · $15.9M to $17.0MJan 2, 2026 to Feb 17, 2026
- Pension RAUM · $15.9M to $17.0MJan 2, 2026 to Feb 17, 2026
- RAUM · $130M to $137MJan 2, 2026 to Feb 17, 2026
- Accounts · 565 to 545Apr 23, 2024 to Sep 18, 2025
- Business name · K••••••• W••••• M••••••••• I••• to K••••••• W••••• M•••••••••Apr 23, 2024 to Sep 18, 2025
- Charity clients · 0.0 to unsetApr 23, 2024 to Sep 18, 2025
- Corporate clients · 0.0 to unsetApr 23, 2024 to Sep 18, 2025
- HNW clients · 28 to 34Apr 23, 2024 to Sep 18, 2025
- Individual clients · 179 to 177Apr 23, 2024 to Sep 18, 2025
- Pooled vehicle clients · 0.0 to unsetApr 23, 2024 to Sep 18, 2025
- Financial planning clients · 1-10 to 1-10Apr 23, 2024 to Sep 18, 2025
- Discretionary RAUM · $87.6M to $114MApr 23, 2024 to Sep 18, 2025
- HNW RAUM · $42.3M to $64.1MApr 23, 2024 to Sep 18, 2025
- Individual RAUM · $46.9M to $50.1MApr 23, 2024 to Sep 18, 2025
- Non-discretionary RAUM · $16.5M to $15.9MApr 23, 2024 to Sep 18, 2025
- Pension RAUM · $14.9M to $15.9MApr 23, 2024 to Sep 18, 2025
- Pooled vehicle RAUM · 0.0 to unsetApr 23, 2024 to Sep 18, 2025
- RAUM · $104M to $130MApr 23, 2024 to Sep 18, 2025
Signals
1 dated events
- K••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 23, 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
- 319-883-3096reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- keystonewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (319) 883-3096reportedpublic record, Form ADV, Jun 5, 2026
- Team page
- keystonewealth.com/team-member-01/dave-beckerreportedpublished 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026