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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
K••••• • A•••••••••
Latest filing Aug 25, 2026
First filing on the tape Jul 22, 2022 · 15 filings
SEC status approved since Dec 9, 2022
RAUM
$556M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$531M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$69.4M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$556M as of Aug 25, 2026
Feb 14, 2023$340M then
HNW client RAUM$451M as of Aug 25, 2026
Feb 14, 2023$223M then
State-registered IARs (5.B.3)8 as of Aug 25, 2026
Feb 14, 20237 then
Employees (5.A)10 as of Aug 25, 2026
Feb 14, 20239 then
Private funds: no history
RAUM +18% over the last fiscal year+18% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $69.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $348,109derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $136M, 40 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$451M81%
- Individuals$79.9M14%
- Corporations and businesses$16.5M3.0%
- Charitable organizations$7.0M1.3%
- Pension and profit-sharing plans$1.5M0.3%
- Individual clients
- 151reported
- HNW clients
- 158reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 1,596reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $27.0M managedreported
- Custody of client assets
- $136M for 40 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• L••• D••••••• | Altoona, Pa | Oct 1, 2022 | 27 y | 2 |
| S•••• M•••• A••••••• | Altoona, Pa | Oct 1, 2022 | 22 y | 2 |
| J•••••• N••••••• S••••••Certified Financial Planner | Myrtle Beach, Sc | Oct 1, 2022 | 12 y | 1 |
| K••• W• M•••••••••Certified Financial Planner | Altoona, Pa | Oct 1, 2022 | 10 y | 1 |
| K•••••• K••••• S••••••Certified Financial Planner | Hollidaysburg, Pa | Oct 1, 2022 | 12 y | 1 |
| J••••• R•••••• B•••Certified Financial Planner | Altoona, Pa | Aug 15, 2023 | 10 y | 0 |
| J•••••• D••••• B••••Certified Financial Planner | Altoona, Pa | Aug 23, 2024 | 12 y | 0 |
| R••••• S••••••• K•••••• | Altoona, Pa | Jan 14, 2026 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- M••••••• R••• B•••• to K••• P••••• L••Dec 15, 2023 · RIA to RIA
Joined, latest
- S•••• M•••• A••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••••• N••••••• S•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• K••••• S•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- A•• L••• D••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- M••••••• R••• B•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- K••• W• M••••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 1, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 10, 2022 · Altoona, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J••••••• N••••••• · Chief Compliance Officer/Co-Managing Membercontrolsince 07/2022 · owns 50% to 75%
- S••••••• K••••••• K••••• · Co-Managing Membercontrolsince 07/2022 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Altoona, Pa · principal | 8 | 1 | 0 | ||
| Hollidaysburg, Pa | 2 | 0 | 0 | ||
| Myrtle Beach, Sc | 2 | 0 | 0 | ||
| Greensboro, Nc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 1,256 to 1,596Sep 18, 2025 to Mar 12, 2026
- Advisory employees · 5 to 6Sep 18, 2025 to Mar 12, 2026
- Charity clients · 5 to 6Sep 18, 2025 to Mar 12, 2026
- Corporate clients · 15 to 16Sep 18, 2025 to Mar 12, 2026
- HNW clients · 141 to 158Sep 18, 2025 to Mar 12, 2026
- Individual clients · 167 to 151Sep 18, 2025 to Mar 12, 2026
- Assets in custody · $71.5M to $136MSep 18, 2025 to Mar 12, 2026
- Employees · 9 to 10Sep 18, 2025 to Mar 12, 2026
- State-registered IARs · 7 to 8Sep 18, 2025 to Mar 12, 2026
- Discretionary RAUM · $472M to $556MSep 18, 2025 to Mar 12, 2026
- HNW RAUM · $366M to $451MSep 18, 2025 to Mar 12, 2026
- Individual RAUM · $84.3M to $79.9MSep 18, 2025 to Mar 12, 2026
- Pension RAUM · unset to 1456854.0Sep 18, 2025 to Mar 12, 2026
- RAUM · $472M to $556MSep 18, 2025 to Mar 12, 2026
- Wrap assets (manager) · $33.6M to $27.0MSep 18, 2025 to Mar 12, 2026
- Accounts · 1,235 to 1,256Oct 30, 2024 to Mar 20, 2025
- Corporate clients · 13 to 15Oct 30, 2024 to Mar 20, 2025
- HNW clients · 122 to 141Oct 30, 2024 to Mar 20, 2025
- Individual clients · 189 to 167Oct 30, 2024 to Mar 20, 2025
- Assets in custody · $57.2M to $71.5MOct 30, 2024 to Mar 20, 2025
- Financial planning clients · 251-500 to 251-500Oct 30, 2024 to Mar 20, 2025
- Discretionary RAUM · $411M to $472MOct 30, 2024 to Mar 20, 2025
- HNW RAUM · $303M to $366MOct 30, 2024 to Mar 20, 2025
- Individual RAUM · $90.4M to $84.3MOct 30, 2024 to Mar 20, 2025
- RAUM · $411M to $472MOct 30, 2024 to Mar 20, 2025
- Wrap assets (manager) · $35.0M to $33.6MOct 30, 2024 to Mar 20, 2025
- Other offices · 0 to 2Jul 30, 2024 to Oct 30, 2024
- Accounts · 1,297 to 1,235Dec 15, 2023 to Mar 22, 2024
- Charity clients · unset to 5.0Dec 15, 2023 to Mar 22, 2024
- Corporate clients · 14 to 13Dec 15, 2023 to Mar 22, 2024
- HNW clients · 94 to 122Dec 15, 2023 to Mar 22, 2024
- Individual clients · 212 to 189Dec 15, 2023 to Mar 22, 2024
- Assets in custody · $43.2M to $57.2MDec 15, 2023 to Mar 22, 2024
- Discretionary RAUM · $340M to $411MDec 15, 2023 to Mar 22, 2024
- HNW RAUM · $223M to $303MDec 15, 2023 to Mar 22, 2024
- Individual RAUM · $99.5M to $90.4MDec 15, 2023 to Mar 22, 2024
- RAUM · $340M to $411MDec 15, 2023 to Mar 22, 2024
- Wrap assets (manager) · $34.3M to $35.0MDec 15, 2023 to Mar 22, 2024
- Other offices · 1 to 0Dec 11, 2023 to Dec 15, 2023
- Accounts · 1,040 to 1,297Dec 5, 2022 to Feb 14, 2023
Signals
3 dated events
- M••••••• R••• B•••• left K••••• • A••••••••• for K••• P••••• L•• (registered 2024-01-09)Dec 15, 2023 · Advisor changed firm · fact
- 6 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Altoona, PA) for K••••• • A••••••••• within 3 daysOct 10, 2022 · Team lift-out · derived
- K••••• • A••••••••• filed its initial SEC registration (Form ADV)Jul 22, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 814-941-4800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 814-941-4807reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/kooman-&-associatesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- kooman.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 814-941-4800reportedpublic record, Form ADV, Aug 25, 2026
- Contact form
- kooman.com/contact-usreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $69.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026