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••••• L••
Latest filing Oct 31, 2025
First filing on the tape Aug 15, 2022 · 19 filings
SEC status approved since Sep 19, 2022
RAUM
$105M
reported, Item 5.F
Discretionary
25%
of RAUM
Private clients
1.1%
$1.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$105M as of Oct 31, 2025
Mar 27, 2023$26.8M then
HNW client RAUM$1.1M as of Oct 31, 2025
Mar 30, 2024$51.3M then
State-registered IARs (5.B.3)1 as of Oct 31, 2025
Mar 27, 20231 then
Employees (5.A)10 as of Oct 31, 2025
Mar 27, 20232 then
Private funds1 as of Mar 31, 2025
Mar 30, 20241 then
RAUM +24% over the last fiscal yearIARs 2 to 1offices 3 to 1
Practice profile
derived from the filing of Oct 31, 2025; every figure names its basis
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $21.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 25%derivedof RAUM
- Institutional
- 75%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$78.9M75%
- Pooled investment vehicles$24.8M24%
- High-net-worth individuals$1.1M1.1%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 5reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• C••••• C••••••• F••• I••• K•••• L• | Private Equity Fund | $11.0M | 2 | Jan 9, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J••••• A••••• · Chief Executive Officercontrolsince 07/2024 · owns less than 5%
- M•••••• N•••••••• M•••••• · Presidentcontrolsince 07/2024 · owns less than 5%
- N••••••• H•••• L•••• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- S•••• U••••• N••••• · Cfo & Ctocontrolsince 07/2023 · owns less than 5%
- C••••••••• J••••• A••••• · Partnercontrolsince 05/2021 · owns 25% to 50% of K•••• H••••••• L••
- M•••••• N•••••••• M•••••• · Partnercontrolsince 05/2021 · owns 25% to 50% of K•••• H••••••• L••
- R••••••••• V••••••• R••••••• L••••• S••• · Partnercontrolsince 05/2021 · owns 25% to 50% of K•••• H••••••• L••
- S•••• U••••• N••••• · Partnercontrolsince 05/2021 · owns 25% to 50% of K•••• H••••••• L••
Entity owners
- K•••• F•••••••• L•• · Sole Member Of Registrantdirect · owns 75% or more
- K•••• H••••••• L•• · Sole Memberindirect · owns 75% or more of K•••• F•••••••• L••
Related persons
Schedule D 7.A
- K•••• G••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Private funds · 1 to unsetMar 31, 2025 to Oct 31, 2025
- Advisory employees · 9 to 5Jul 25, 2024 to Mar 31, 2025
- Charity clients · unset to 2.0Jul 25, 2024 to Mar 31, 2025
- HNW clients · 0 to 1Jul 25, 2024 to Mar 31, 2025
- Pension plan clients · 0.0 to unsetJul 25, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Jul 25, 2024 to Mar 31, 2025
- Other offices · 3 to 1Jul 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $34.3M to $26.0MJul 25, 2024 to Mar 31, 2025
- HNW RAUM · $51.3M to $1.1MJul 25, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $50.0M to $78.9MJul 25, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $32.3M to $24.8MJul 25, 2024 to Mar 31, 2025
- RAUM · $84.3M to $105MJul 25, 2024 to Mar 31, 2025
- Advisory employees · 10 to 9Mar 30, 2024 to Jul 25, 2024
- BD registered reps · 1 to 0Mar 30, 2024 to Jul 25, 2024
- Employees · 12 to 10Mar 30, 2024 to Jul 25, 2024
- State-registered IARs · 2 to 1Mar 30, 2024 to Jul 25, 2024
- Accounts · 4 to 5Jan 9, 2024 to Mar 30, 2024
- Advisory employees · 3 to 10Jan 9, 2024 to Mar 30, 2024
- Pooled vehicle clients · 0 to 2Jan 9, 2024 to Mar 30, 2024
- Employees · 8 to 12Jan 9, 2024 to Mar 30, 2024
- Financial planning clients · unset to 1-10Jan 9, 2024 to Mar 30, 2024
- State-registered IARs · 1 to 2Jan 9, 2024 to Mar 30, 2024
- Discretionary RAUM · $24.8M to $34.3MJan 9, 2024 to Mar 30, 2024
- HNW RAUM · unset to 51250056.0Jan 9, 2024 to Mar 30, 2024
- Individual RAUM · 7000000.0 to unsetJan 9, 2024 to Mar 30, 2024
- Non-discretionary RAUM · $6.0M to $50.0MJan 9, 2024 to Mar 30, 2024
- Pooled vehicle RAUM · unset to 32289267.0Jan 9, 2024 to Mar 30, 2024
- RAUM · $30.8M to $84.3MJan 9, 2024 to Mar 30, 2024
- Advisory employees · 2 to 3Sep 22, 2023 to Jan 9, 2024
- BD registered reps · 0 to 1Sep 22, 2023 to Jan 9, 2024
- Employees · 7 to 8Sep 22, 2023 to Jan 9, 2024
- State-registered IARs · 2 to 1Sep 22, 2023 to Jan 9, 2024
- Other offices · 0 to 3Sep 22, 2023 to Jan 9, 2024
- Private funds · unset to 1Sep 22, 2023 to Jan 9, 2024
- Related broker-dealer · false to trueSep 22, 2023 to Jan 9, 2024
- Advisory employees · 1 to 2Jun 24, 2023 to Sep 22, 2023
- Employees · 2 to 7Jun 24, 2023 to Sep 22, 2023
- State-registered IARs · 1 to 2Jun 24, 2023 to Sep 22, 2023
- Charity clients · 0.0 to unsetApr 27, 2023 to May 18, 2023
- Corporate clients · 0.0 to unsetApr 27, 2023 to May 18, 2023
Signals
2 dated events
- K•••• W••••• L•• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $104.9M)Mar 2, 2026 · Left the SEC roster · derived
- K•••• W••••• L•• filed its initial SEC registration (Form ADV)Aug 15, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- K•••• W••••• L•• · Private Equityshared crd · organization
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