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
I••••••• A•••••••
Legal name K•••••• E• C••••• L••
Latest filing May 13, 2026
First filing on the tape Oct 12, 2020 · 27 filings
SEC status approved since Nov 12, 2020
RAUM
$268M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
83%
$222M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$89.4M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$268M as of May 13, 2026
Mar 19, 2021$156M then
HNW client RAUM$176M as of May 13, 2026
Mar 19, 2021$95.5M then
State-registered IARs (5.B.3)2 as of May 13, 2026
Mar 19, 20212 then
Employees (5.A)5 as of May 13, 2026
Mar 19, 20215 then
Private funds: no history
RAUM +19% over the last fiscal year+17% a year over threeIARs 2 to 2offices 2 to 3
Practice profile
derived from the filing of May 13, 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
- RAUM per advisor
- $89.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $419,841derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$176M66%
- Individuals$46.1M17%
- Pension and profit-sharing plans$44.5M17%
- Charitable organizations$1.9M0.7%
- Individual clients
- 204reported
- HNW clients
- 62reported
- Pension plan clients
- 15reported
- Charitable clients
- 2reported
- Accounts
- 639reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.17 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 |
|---|---|---|---|---|
| K•••••• E•••••••• C•••••Certified Financial Planner | State College, Pa | Dec 2, 2020 | 21 y | 2 |
| B•••• S•••• H•••••Certified Financial Planner | State College, Pa | Mar 17, 2021 | 10 y | 0 |
| L••••• G••• G••••••• | Ellicott City, Md | Oct 30, 2025 | 30 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- L••••• G••• G••••••• from A•••••••• W••••• C••••••••• L••Oct 30, 2025 · RIA to RIA
- K•••••• E•••••••• C••••• from H• B•••• I•••Dec 2, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• K••••••• E•••••••• · Ownercontrolsince 10/2020 · owns 75% or more
- G•••••••• L•••••• G••• · Chief Compliance Officersince 10/2021 · 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 |
|---|---|---|---|---|---|
| State College, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 606 to 639Oct 29, 2025 to Feb 7, 2026
- Charity clients · unset to 2.0Oct 29, 2025 to Feb 7, 2026
- HNW clients · 53 to 62Oct 29, 2025 to Feb 7, 2026
- Individual clients · 209 to 204Oct 29, 2025 to Feb 7, 2026
- Financial planning clients · 1-10 to 11-25Oct 29, 2025 to Feb 7, 2026
- Discretionary RAUM · $207M to $240MOct 29, 2025 to Feb 7, 2026
- HNW RAUM · $137M to $176MOct 29, 2025 to Feb 7, 2026
- Individual RAUM · $47.8M to $46.1MOct 29, 2025 to Feb 7, 2026
- Non-discretionary RAUM · $19.0M to $27.9MOct 29, 2025 to Feb 7, 2026
- Pension RAUM · $40.4M to $44.5MOct 29, 2025 to Feb 7, 2026
- RAUM · $226M to $268MOct 29, 2025 to Feb 7, 2026
- Other offices · 2 to 3Mar 18, 2025 to Oct 29, 2025
- Financial planning clients · 1-10 to 1-10Mar 4, 2025 to Mar 18, 2025
- Other offices · 0 to 2Mar 4, 2025 to Mar 18, 2025
- Accounts · 512 to 606Nov 27, 2024 to Mar 4, 2025
- HNW clients · 37 to 53Nov 27, 2024 to Mar 4, 2025
- Individual clients · 182 to 209Nov 27, 2024 to Mar 4, 2025
- Employees · 4 to 5Nov 27, 2024 to Mar 4, 2025
- Discretionary RAUM · $155M to $207MNov 27, 2024 to Mar 4, 2025
- HNW RAUM · $109M to $137MNov 27, 2024 to Mar 4, 2025
- Individual RAUM · $43.9M to $47.8MNov 27, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $35.5M to $19.0MNov 27, 2024 to Mar 4, 2025
- Pension RAUM · $36.5M to $40.4MNov 27, 2024 to Mar 4, 2025
- RAUM · $191M to $226MNov 27, 2024 to Mar 4, 2025
- Accounts · 496 to 512Jun 28, 2023 to Feb 9, 2024
- Charity clients · 2.0 to unsetJun 28, 2023 to Feb 9, 2024
- HNW clients · 36 to 37Jun 28, 2023 to Feb 9, 2024
- Individual clients · 167 to 182Jun 28, 2023 to Feb 9, 2024
- Pension plan clients · 14 to 15Jun 28, 2023 to Feb 9, 2024
- Employees · 6 to 4Jun 28, 2023 to Feb 9, 2024
- Financial planning clients · 11-25 to 1-10Jun 28, 2023 to Feb 9, 2024
- Discretionary RAUM · $154M to $155MJun 28, 2023 to Feb 9, 2024
- HNW RAUM · $105M to $109MJun 28, 2023 to Feb 9, 2024
- Individual RAUM · $34.2M to $43.9MJun 28, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $13.9M to $35.5MJun 28, 2023 to Feb 9, 2024
- Pension RAUM · $27.9M to $36.5MJun 28, 2023 to Feb 9, 2024
- RAUM · $168M to $191MJun 28, 2023 to Feb 9, 2024
- Accounts · 434 to 496Jul 18, 2022 to Mar 9, 2023
- Charity clients · 3 to 2Jul 18, 2022 to Mar 9, 2023
- HNW clients · 42 to 36Jul 18, 2022 to Mar 9, 2023
Signals
1 dated events
- K•••••• E• C••••• L•• filed its initial SEC registration (Form ADV)Oct 12, 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 email
- info@weareinvested.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 814-235-2703reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/weareinvestedreportedpublic record, Form ADV, Sep 18, 2026
- Website
- weareinvested.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 814-235-2703reportedpublic record, Form ADV, May 13, 2026
- Contact form
- weareinvested.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- weareinvested.com/team/kristen-coombsreportedpublished by the firm, firm site, Sep 17, 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
- $89.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026