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
T•••• W••••• P•••••••
Legal name T•••• W••••• P•••••••• I•••
Latest filing Mar 4, 2026
First filing on the tape Aug 7, 2020 · 16 filings
SEC status approved since Sep 8, 2020
RAUM
$440M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$439M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$440M as of Mar 4, 2026
Mar 9, 2021$243M then
HNW client RAUM$306M as of Mar 4, 2026
Mar 9, 2021$157M then
State-registered IARs (5.B.3)3 as of Mar 4, 2026
Mar 9, 20214 then
Employees (5.A)9 as of Mar 4, 2026
Mar 9, 20218 then
Private funds: no history
RAUM +26% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 4, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 307derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $239,080derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $5.5M, 2 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)
- compensates persons for client referrals (8.G.1)
- 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$306M69%
- Individuals$133M30%
- Pension and profit-sharing plans$1.1M0.2%
- Individual clients
- 774reported
- HNW clients
- 146reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,842reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.5M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• F••••• K••• | Lewisburg, Pa | Sep 29, 2020 | 25 y | 1 |
| H•••• E•••••••• K••• | Lewisburg, Pa | Sep 30, 2020 | 10 y | 1 |
| D•••• M•••••• K•••Certified Financial Planner | Lewisburg, Pa | Sep 30, 2020 | 33 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•••••• K••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 30, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- H•••• E•••••••• K••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 30, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• F••••• K••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 29, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2020 · Lewisburg, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• J••••• F••••• · Partnercontrolsince 08/2020 · owns 25% to 50%
- K•••• D••••• M•••••• · Managing Partner And Chief Compliance Officercontrolsince 08/2020 · 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 |
|---|---|---|---|---|---|
| Lewisburg, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 4, 2026private clients per advisor of 306.7 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 7.1 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
- very high RAUM per advisorStatic outlier · filing Mar 4, 2026RAUM per registered advisor of $146,795,036 against a peer median of $55,746,441 (3254 comparable advisers, 98.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 98% percentile
- account count surgeChange between filings · filing Mar 4, 2026accounts (Item 5.F.2.f) moved from 687.0 to 1,842.0 (+168.0%) between the annual amendments of 2025-04-25 and 2026-03-04; the peer median change was +5.0% (3686 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 687 to 1,842Apr 25, 2025 to Mar 4, 2026
- Corporate clients · 110.0 to unsetApr 25, 2025 to Mar 4, 2026
- HNW clients · 106 to 146Apr 25, 2025 to Mar 4, 2026
- Individual clients · 577 to 774Apr 25, 2025 to Mar 4, 2026
- Assets in custody · $5.0M to $5.5MApr 25, 2025 to Mar 4, 2026
- Discretionary RAUM · $332M to $440MApr 25, 2025 to Mar 4, 2026
- HNW RAUM · $200M to $306MApr 25, 2025 to Mar 4, 2026
- Individual RAUM · $132M to $133MApr 25, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $18.4M to $0Apr 25, 2025 to Mar 4, 2026
- Pension RAUM · $825,700 to $1.1MApr 25, 2025 to Mar 4, 2026
- RAUM · $350M to $440MApr 25, 2025 to Mar 4, 2026
- BD registered reps · 1 to 0Feb 12, 2025 to Apr 25, 2025
- Financial planning clients · More than 500 to More than 500Feb 12, 2025 to Apr 25, 2025
- Accounts · 730 to 687Aug 16, 2024 to Feb 12, 2025
- BD registered reps · 3 to 1Aug 16, 2024 to Feb 12, 2025
- Charity clients · 5.0 to unsetAug 16, 2024 to Feb 12, 2025
- Corporate clients · unset to 110.0Aug 16, 2024 to Feb 12, 2025
- HNW clients · 81 to 106Aug 16, 2024 to Feb 12, 2025
- Individual clients · 504 to 577Aug 16, 2024 to Feb 12, 2025
- Assets in custody · $5.0M to $5.0MAug 16, 2024 to Feb 12, 2025
- Employees · 8 to 9Aug 16, 2024 to Feb 12, 2025
- Financial planning clients · 251-500 to More than 500Aug 16, 2024 to Feb 12, 2025
- Discretionary RAUM · $290M to $332MAug 16, 2024 to Feb 12, 2025
- HNW RAUM · $157M to $200MAug 16, 2024 to Feb 12, 2025
- Individual RAUM · $135M to $132MAug 16, 2024 to Feb 12, 2025
- Pension RAUM · $942,777 to $825,700Aug 16, 2024 to Feb 12, 2025
- RAUM · $308M to $350MAug 16, 2024 to Feb 12, 2025
- Other offices · 0 to 1Apr 19, 2024 to Aug 16, 2024
- Assets in custody · unset to 5005159.0Feb 9, 2024 to Apr 19, 2024
- Custody of client assets · false to trueFeb 9, 2024 to Apr 19, 2024
- Accounts · 1,884 to 730Apr 28, 2023 to Feb 9, 2024
- Charity clients · unset to 5.0Apr 28, 2023 to Feb 9, 2024
- HNW clients · 110 to 81Apr 28, 2023 to Feb 9, 2024
- Individual clients · 484 to 504Apr 28, 2023 to Feb 9, 2024
- Discretionary RAUM · $242M to $290MApr 28, 2023 to Feb 9, 2024
- HNW RAUM · $165M to $157MApr 28, 2023 to Feb 9, 2024
- Individual RAUM · $91.5M to $135MApr 28, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $17.4M to $18.4MApr 28, 2023 to Feb 9, 2024
- Pension RAUM · $2.5M to $942,777Apr 28, 2023 to Feb 9, 2024
- RAUM · $259M to $308MApr 28, 2023 to Feb 9, 2024
Signals
1 dated events
- T•••• W••••• P••••••• filed its initial SEC registration (Form ADV)Aug 7, 2020 · 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
- 407-636-2800reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 570-524-7200reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 570-524-7211reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/koss-financial-groupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- towerwp.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (570) 524-7200reportedpublic record, Form ADV, Mar 4, 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
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026