DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••••••• R••••••••• C••••••••• L••

Institutional managerCRD 317027SEC 801-127777websiteIAPD
Latest filing Feb 23, 2026
First filing on the tape Mar 29, 2023 · 9 filings
SEC status approved since Apr 28, 2023
RAUM
$187M
reported, Item 5.F
Discretionary
0.2%
of RAUM
Private clients
0.2%
$375,535 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$187M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$187M as of Feb 23, 2026
Mar 19, 2024$154M then
HNW client RAUM$0 as of Feb 23, 2026
Mar 19, 2024$0 then
State-registered IARs (5.B.3)1 as of Feb 23, 2026
Mar 19, 20241 then
Employees (5.A)1 as of Feb 23, 2026
Mar 19, 20241 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$187MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$85,392derivedRAUM over accounts (5.F.2.f)
Discretionary
0.2%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%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 individuals, pension consulting, educational seminarsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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
  • Pension and profit-sharing plans$186M100%
  • Individuals$375,5350.2%
Individual clients
2reported
HNW clients
0reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
2,185reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T•••• J•• K•••••••Marquette, MiAug 24, 202610 y2
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••••• T••••• J•• · Managing Member & Chief Compliance Officercontrol
      since 08/2021 · 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.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • business activity changedChange between filings · filing Feb 23, 2026
      selection of other advisers (Item 5.G.7): yes on the filing of 2025-03-10, no on the filing of 2026-02-23
      peers: institutional managers, $100M to $500M (108)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 5 to 2,185
      Mar 10, 2025 to Feb 23, 2026
    • Advisory activities · 5 to 4
      Mar 10, 2025 to Feb 23, 2026
    • Discretionary RAUM · $322,766 to $375,535
      Mar 10, 2025 to Feb 23, 2026
    • Individual RAUM · $322,766 to $375,535
      Mar 10, 2025 to Feb 23, 2026
    • Non-discretionary RAUM · $166M to $186M
      Mar 10, 2025 to Feb 23, 2026
    • Pension RAUM · $166M to $186M
      Mar 10, 2025 to Feb 23, 2026
    • RAUM · $167M to $187M
      Mar 10, 2025 to Feb 23, 2026
    • Accounts · 4 to 5
      Nov 25, 2024 to Mar 10, 2025
    • Individual clients · 1 to 2
      Nov 25, 2024 to Mar 10, 2025
    • Financial planning clients · 0 to 0
      Nov 25, 2024 to Mar 10, 2025
    • HQ city · unset to
      Nov 25, 2024 to Mar 10, 2025
    • HQ state · unset to
      Nov 25, 2024 to Mar 10, 2025
    • Discretionary RAUM · $76,753 to $322,766
      Nov 25, 2024 to Mar 10, 2025
    • Individual RAUM · $76,753 to $322,766
      Nov 25, 2024 to Mar 10, 2025
    • Non-discretionary RAUM · $154M to $166M
      Nov 25, 2024 to Mar 10, 2025
    • Pension RAUM · $154M to $166M
      Nov 25, 2024 to Mar 10, 2025
    • RAUM · $154M to $167M
      Nov 25, 2024 to Mar 10, 2025
    • Accounts · 1 to 4
      Apr 10, 2023 to Mar 19, 2024
    • Advisory activities · 4 to 5
      Apr 10, 2023 to Mar 19, 2024
    • Individual clients · 0 to 1
      Apr 10, 2023 to Mar 19, 2024
    • Pension plan clients · 1 to 3
      Apr 10, 2023 to Mar 19, 2024
    • Discretionary RAUM · $0 to $76,753
      Apr 10, 2023 to Mar 19, 2024
    • Individual RAUM · $0 to $76,753
      Apr 10, 2023 to Mar 19, 2024
    • Non-discretionary RAUM · $121M to $154M
      Apr 10, 2023 to Mar 19, 2024
    • Pension RAUM · $121M to $154M
      Apr 10, 2023 to Mar 19, 2024
    • RAUM · $121M to $154M
      Apr 10, 2023 to Mar 19, 2024
    Signals
    1 dated events
    • S••••••••• R••••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 29, 2023 · 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
    Website
    s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    (906) 236-5500reportedpublic record, Form ADV, Feb 23, 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
    Institutional managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $187Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026