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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Former SEC-registered adviser

K••••• P•••••• W•••••• I•••

Former SEC-registered adviserLake Mary, FloridaCRD 311653SEC 801-119996IAPD
Latest filing Dec 7, 2022
First filing on the tape Nov 18, 2020 · 7 filings
RAUM
$115M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$115M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$115M as of Apr 4, 2022
Apr 13, 2021$107M then
HNW client RAUM$67.6M as of Apr 4, 2022
Apr 13, 2021$65.0M then
State-registered IARs (5.B.3)1 as of Apr 4, 2022
Apr 13, 20211 then
Employees (5.A)3 as of Apr 4, 2022
Apr 13, 20213 then
Private funds: no history
RAUM +7.8% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Dec 7, 2022; every figure names its basis
RAUM per advisor
$115MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
99derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$212,259derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$67.6M59%
  • Individuals$47.2M41%
Individual clients
70reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
541reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• T•••••• A•••••••• · Principal, Ccocontrol
    since 07/2020 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related adviser · false to true
    Apr 4, 2022 to Dec 7, 2022
  • Related broker-dealer · false to true
    Apr 4, 2022 to Dec 7, 2022
  • Accounts · 511 to 541
    Dec 7, 2021 to Apr 4, 2022
  • Financial planning clients · 0 to 51-100
    Dec 7, 2021 to Apr 4, 2022
  • Discretionary RAUM · $99.7M to $107M
    Dec 7, 2021 to Apr 4, 2022
  • HNW RAUM · $65.0M to $67.6M
    Dec 7, 2021 to Apr 4, 2022
  • Individual RAUM · $41.6M to $47.2M
    Dec 7, 2021 to Apr 4, 2022
  • Non-discretionary RAUM · $6.9M to $7.7M
    Dec 7, 2021 to Apr 4, 2022
  • RAUM · $107M to $115M
    Dec 7, 2021 to Apr 4, 2022
  • Advisory activities · 4 to 2
    Sep 8, 2021 to Dec 7, 2021
  • Accounts · 0 to 511
    Nov 18, 2020 to Apr 13, 2021
  • HNW clients · unset to 29.0
    Nov 18, 2020 to Apr 13, 2021
  • Individual clients · unset to 70.0
    Nov 18, 2020 to Apr 13, 2021
  • Discretionary RAUM · $0 to $99.7M
    Nov 18, 2020 to Apr 13, 2021
  • HNW RAUM · unset to 64963163.0
    Nov 18, 2020 to Apr 13, 2021
  • Individual RAUM · unset to 41595960.0
    Nov 18, 2020 to Apr 13, 2021
  • Non-discretionary RAUM · $0 to $6.9M
    Nov 18, 2020 to Apr 13, 2021
  • RAUM · $0 to $107M
    Nov 18, 2020 to Apr 13, 2021
Signals
2 dated events
  • T••••• A•••••••• B•••••• left K••••• P•••••• W•••••• I••• for Captrust (registered 2023-01-10)
    Mar 29, 2023 · Advisor changed firm · fact
  • K••••• P•••••• W•••••• I••• filed its initial SEC registration (Form ADV)
    Nov 18, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026