DFX Intelligence

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K•• W••••• A••••••• L••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $9.3M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2024-11-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $9.3M
RAUM change, 1 year: -84%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2024-11-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 12 Nov 2024, RAUM $57M to $9.3M (-83.7%) on the Form ADV filed 12 Nov 2024, while advisors on the filing fell 2 to 1 and offices fell 2 to 0.

Every filed figure, and the identifiersCRD 317106 · SEC 801-122646 · 20 filingsShow

CRD 317106SEC 801-122646First filing on the tape Oct 6, 2021, latest Nov 12, 2024IAPD

RAUM

$9.3M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$9.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM -84% over the last fiscal year · the tape starts Oct 6, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$71.5M as of Mar 29, 2024

Mar 9, 2022$43.0M then

HNW client RAUM$52.0M as of Mar 29, 2024

Mar 9, 2022$35.0M then

State-registered IARs (5.B.3)1 as of Mar 29, 2024

Mar 9, 20222 then

Employees (5.A)3 as of Mar 29, 2024

Mar 9, 20224 then

Private funds: no history

RAUM -84% over the last fiscal yearIARs 2 to 1offices 2 to 0

Practice profile

derived from the filing of Nov 12, 2024; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $9.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $489,474derivedHNW RAUM over HNW clients
Average account: $232,500derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +25%derivedbetween the last two annual amendments
Advisor growth, one year: -50%derivedItem 5.B.3 between annual amendments
Client growth, one year: +27%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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow

High-net-worth individuals$9.3M100%

Individual clients: n/areported
HNW clients: 19reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 40reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Where they went: the top destinations among the 2 most recent departures on the tape

C•••••••• I••••••••• R••••••• A•••••••• I•••2 advisors

Left, latest

D•••• A••• E•••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
Jul 17, 2024 · RIA to affiliated broker-dealer or bank
E•• M•••••• D••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
May 20, 2024 · RIA to affiliated broker-dealer or bank

Joined, latest

E•• M•••••• D••• from W•••• F•••• A•••••••
Jan 31, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
D•••• A••• E•••••••• from W•••• F•••• A•••••••
Nov 21, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

V•••••••• C•••• J• · Chief Executive Officer/ Chief Compliance Officercontrol
since 04/2024 · owns less than 5%
V•••••••• C•••• J• · Managing Membercontrol
since 04/2024 · owns F of K•• W••••• M••••••••• L••

Entity owners

K•• W••••• M••••••••• L•• · Managing Member (Holding Company)
direct · owns 75% or more

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
Hazlet, Nj	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 163 to 40
May 7, 2024 to Nov 8, 2024
Individual clients · 37.0 to unset
May 7, 2024 to Nov 8, 2024
Pension plan clients · 1.0 to unset
May 7, 2024 to Nov 8, 2024
Employees · 3 to 2
May 7, 2024 to Nov 8, 2024
Other offices · 2 to 0
May 7, 2024 to Nov 8, 2024

Full history · 53 changes

Discretionary RAUM · $69.0M to $9.3M
May 7, 2024 to Nov 8, 2024
HNW RAUM · $52.0M to $9.3M
May 7, 2024 to Nov 8, 2024
Individual RAUM · 17000000.0 to unset
May 7, 2024 to Nov 8, 2024
Non-discretionary RAUM · $2.5M to $0
May 7, 2024 to Nov 8, 2024
Pension RAUM · 2500000.0 to unset
May 7, 2024 to Nov 8, 2024
RAUM · $71.5M to $9.3M
May 7, 2024 to Nov 8, 2024
Accounts · 107 to 163
Jan 9, 2024 to Mar 29, 2024
Advisory employees · 4 to 1
Jan 9, 2024 to Mar 29, 2024
BD registered reps · 3 to 1
Jan 9, 2024 to Mar 29, 2024
HNW clients · 16 to 19
Jan 9, 2024 to Mar 29, 2024
Individual clients · 28 to 37
Jan 9, 2024 to Mar 29, 2024
Employees · 4 to 3
Jan 9, 2024 to Mar 29, 2024
Financial planning clients · 0 to 101-250
Jan 9, 2024 to Mar 29, 2024
State-registered IARs · 2 to 1
Jan 9, 2024 to Mar 29, 2024
Discretionary RAUM · $57.0M to $69.0M
Jan 9, 2024 to Mar 29, 2024
HNW RAUM · $43.0M to $52.0M
Jan 9, 2024 to Mar 29, 2024
Individual RAUM · $14.0M to $17.0M
Jan 9, 2024 to Mar 29, 2024
Non-discretionary RAUM · $2.0M to $2.5M
Jan 9, 2024 to Mar 29, 2024
Pension RAUM · $2.0M to $2.5M
Jan 9, 2024 to Mar 29, 2024
RAUM · $59.0M to $71.5M
Jan 9, 2024 to Mar 29, 2024
Discretionary RAUM · $55.0M to $57.0M
May 15, 2023 to Jun 23, 2023
HNW RAUM · $41.0M to $43.0M
May 15, 2023 to Jun 23, 2023
RAUM · $57.0M to $59.0M
May 15, 2023 to Jun 23, 2023
Accounts · 92 to 107
Mar 9, 2022 to May 15, 2023
HNW clients · 13 to 16
Mar 9, 2022 to May 15, 2023
Individual clients · 18 to 28
Mar 9, 2022 to May 15, 2023
Discretionary RAUM · $43.0M to $55.0M
Mar 9, 2022 to May 15, 2023
HNW RAUM · $35.0M to $41.0M
Mar 9, 2022 to May 15, 2023
Individual RAUM · $6.0M to $14.0M
Mar 9, 2022 to May 15, 2023
Non-discretionary RAUM · $0 to $2.0M
Mar 9, 2022 to May 15, 2023
RAUM · $43.0M to $57.0M
Mar 9, 2022 to May 15, 2023
Wrap assets (manager) · 0.0 to unset
Mar 9, 2022 to May 15, 2023
Wrap assets (sponsor) · 0.0 to unset
Mar 9, 2022 to May 15, 2023
Accounts · 0 to 92
Feb 18, 2022 to Mar 9, 2022
HNW clients · unset to 13.0
Feb 18, 2022 to Mar 9, 2022
Individual clients · unset to 18.0
Feb 18, 2022 to Mar 9, 2022
Pension plan clients · unset to 1.0
Feb 18, 2022 to Mar 9, 2022
Other offices · 0 to 2
Feb 18, 2022 to Mar 9, 2022
Discretionary RAUM · $0 to $43.0M
Feb 18, 2022 to Mar 9, 2022
HNW RAUM · unset to 35000000.0
Feb 18, 2022 to Mar 9, 2022
Individual RAUM · unset to 6000000.0
Feb 18, 2022 to Mar 9, 2022
Pension RAUM · unset to 2000000.0
Feb 18, 2022 to Mar 9, 2022
RAUM · $0 to $43.0M
Feb 18, 2022 to Mar 9, 2022
Wrap assets (manager) · unset to 0.0
Feb 18, 2022 to Mar 9, 2022
Wrap assets (sponsor) · unset to 0.0
Feb 18, 2022 to Mar 9, 2022
Advisory employees · 2 to 4
Nov 19, 2021 to Nov 24, 2021
BD registered reps · 1 to 3
Nov 19, 2021 to Nov 24, 2021
Employees · 2 to 4
Nov 19, 2021 to Nov 24, 2021

Signals

8 dated events

••• Locked
Nov 8, 2024 · Control person left · inference
••• Locked
Jul 17, 2024 · Advisor changed firm · fact
••• Locked
May 20, 2024 · Advisor changed firm · fact
••• Locked
May 1, 2024 · Control person left · inference
••• Locked
May 1, 2024 · Control person joined · fact

Full timeline · 8 events

••• Locked
Mar 29, 2024 · Control person left · inference
••• Locked
Nov 24, 2021 · Control person joined · fact
••• Locked
Oct 6, 2021 · 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026