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•• W••••• M••••••••• L••
Latest filing Mar 18, 2024
First filing on the tape Jan 5, 2022 · 10 filings
SEC status approved since Feb 4, 2022
RAUM
$98.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$89.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$98.5M as of Mar 18, 2024
Mar 6, 2023$93.7M then
HNW client RAUM$79.0M as of Mar 18, 2024
Mar 6, 2023$77.4M then
State-registered IARs (5.B.3)0 as of Mar 18, 2024
Mar 6, 20230 then
Employees (5.A)4 as of Mar 18, 2024
Mar 6, 20234 then
Private funds: no history
RAUM +5.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $337,440derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- 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
- High-net-worth individuals$79.0M80%
- Individuals$10.6M11%
- Pension and profit-sharing plans$8.5M8.6%
- Charitable organizations$277,1510.3%
- Corporations and businesses$255,0650.3%
- Individual clients
- 46reported
- HNW clients
- 51reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 292reported
- Financial planning clients
- 1-10reported
- 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
Left, latest
- S••• N•• R••••••••• to A•••• W••••• M••••••••• L••Mar 31, 2025 · RIA to RIA
Joined, latest
- S••• N•• R••••••••• from S•••••••• E••• W••••• M••••••••• L••Feb 10, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• S•••• N•• · Chief Compliance Officercontrolsince 05/2022 · owns less than 5%
- S••••• J••• A••• · Presidentcontrolsince 10/2021 · owns less than 5%
Entity owners
- K•• S•••••• G•••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- K•• A••••••••• C••••••••• A•••••••• L••insurancen
- K•• R••••••••• P••••••• S••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Schaumburg, Il · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 106 to 292Mar 7, 2023 to Mar 18, 2024
- Advisory employees · 4 to 3Mar 7, 2023 to Mar 18, 2024
- HNW clients · 54 to 51Mar 7, 2023 to Mar 18, 2024
- Individual clients · 42 to 46Mar 7, 2023 to Mar 18, 2024
- Insurance-licensed employees · 4 to 3Mar 7, 2023 to Mar 18, 2024
- Financial planning clients · 0 to 1-10Mar 7, 2023 to Mar 18, 2024
- Discretionary RAUM · $93.7M to $98.5MMar 7, 2023 to Mar 18, 2024
- HNW RAUM · $77.4M to $79.0MMar 7, 2023 to Mar 18, 2024
- Individual RAUM · $9.4M to $10.6MMar 7, 2023 to Mar 18, 2024
- Pension RAUM · $6.5M to $8.5MMar 7, 2023 to Mar 18, 2024
- RAUM · $93.7M to $98.5MMar 7, 2023 to Mar 18, 2024
- Accounts · 324 to 106May 17, 2022 to Mar 6, 2023
- HNW clients · 51 to 54May 17, 2022 to Mar 6, 2023
- Individual clients · 49 to 42May 17, 2022 to Mar 6, 2023
- Pension plan clients · 10 to 7May 17, 2022 to Mar 6, 2023
- Discretionary RAUM · $105M to $93.7MMay 17, 2022 to Mar 6, 2023
- HNW RAUM · $106M to $77.4MMay 17, 2022 to Mar 6, 2023
- Individual RAUM · $16.5M to $9.4MMay 17, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $22.4M to $0May 17, 2022 to Mar 6, 2023
- Pension RAUM · $4.9M to $6.5MMay 17, 2022 to Mar 6, 2023
- RAUM · $128M to $93.7MMay 17, 2022 to Mar 6, 2023
- Accounts · unset to 324.0Jan 26, 2022 to May 3, 2022
- Advisory employees · 0 to 4Jan 26, 2022 to May 3, 2022
- HNW clients · unset to 51.0Jan 26, 2022 to May 3, 2022
- Individual clients · unset to 49.0Jan 26, 2022 to May 3, 2022
- Pension plan clients · unset to 10.0Jan 26, 2022 to May 3, 2022
- Employees · 0 to 4Jan 26, 2022 to May 3, 2022
- Insurance-licensed employees · 0 to 4Jan 26, 2022 to May 3, 2022
- Discretionary RAUM · unset to 105356024.0Jan 26, 2022 to May 3, 2022
- HNW RAUM · $0 to $106MJan 26, 2022 to May 3, 2022
- Individual RAUM · $0 to $16.5MJan 26, 2022 to May 3, 2022
- Non-discretionary RAUM · unset to 22352113.0Jan 26, 2022 to May 3, 2022
- Pension RAUM · $0 to $4.9MJan 26, 2022 to May 3, 2022
- Pooled vehicle RAUM · 0.0 to unsetJan 26, 2022 to May 3, 2022
- RAUM · unset to 127708137.0Jan 26, 2022 to May 3, 2022
- Financial planning clients · unset to 0Jan 5, 2022 to Jan 20, 2022
Signals
5 dated events
- K•• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $98.5M)May 2, 2025 · Left the SEC roster · derived
- S••• N•• R••••••••• left K•• W••••• M••••••••• L•• for A•••• W••••• M••••••••• L•• (registered 2025-01-17)Mar 31, 2025 · Advisor changed firm · fact
- Ira Allen Kutchins (Vice President) no longer on Schedule A of K•• W••••• M••••••••• L•• (listed 2022-05-17, absent 2023-03-06)Mar 6, 2023 · Control person left · inference
- Nmn Srbo Radisavljevic (Chief Compliance Officer) appeared on Schedule A of K•• W••••• M••••••••• L••May 17, 2022 · Control person joined · fact
- K•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 5, 2022 · 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