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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SEC-registered adviser
C••• C•••••• L••
Latest filing May 7, 2026
First filing on the tape Dec 22, 2023 · 11 filings
SEC status approved since May 18, 2026
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$113M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$39.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$117M as of May 7, 2026
Jan 24, 2025$58.6M then
HNW client RAUM$97.6M as of May 7, 2026
Jan 24, 2025$47.9M then
State-registered IARs (5.B.3)2 as of May 7, 2026
Jan 24, 20250 then
Employees (5.A)2 as of May 7, 2026
Jan 24, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 7, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $39.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $438,216derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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)
- 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$97.6M84%
- Individuals$15.2M13%
- Pension and profit-sharing plans$3.6M3.1%
- Corporations and businesses$355,0000.3%
- Individual clients
- 49reported
- HNW clients
- 29reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 268reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• K•••• D•••••••••Chartered Financial Analyst | Jersey City, Nj | Feb 2, 2024 | 11 y | 4 |
| V•• B•••••• P••• | Jersey City, Nj | Jan 15, 2026 | 11 y | 0 |
| N••••••• D••Chartered Financial Analyst | Jersey City, Nj | May 15, 2026 | 12 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K•••• K•••• D••••••••• from L•• F•••••••• L••Feb 2, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• K•••• K•••• · Founder, Ceo, And Chief Compliance Officercontrolsince 12/2023 · 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 |
|---|---|---|---|---|---|
| Jersey City, Nj · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing May 7, 2026custody of client assets (Item 9.A): yes on the filing of 2025-01-24, no on the filing of 2026-05-07peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 125 to 268Jan 24, 2025 to May 7, 2026
- Advisory employees · 1 to 2Jan 24, 2025 to May 7, 2026
- Advisory activities · 5 to 6Jan 24, 2025 to May 7, 2026
- Charity clients · 0.0 to unsetJan 24, 2025 to May 7, 2026
- Corporate clients · 1.0 to unsetJan 24, 2025 to May 7, 2026
- HNW clients · 15 to 29Jan 24, 2025 to May 7, 2026
- Individual clients · 28 to 49Jan 24, 2025 to May 7, 2026
- Pooled vehicle clients · 0.0 to unsetJan 24, 2025 to May 7, 2026
- Assets in custody · 58554170.0 to unsetJan 24, 2025 to May 7, 2026
- Custody of client assets · true to falseJan 24, 2025 to May 7, 2026
- Employees · 1 to 2Jan 24, 2025 to May 7, 2026
- Financial planning clients · 0 to 1-10Jan 24, 2025 to May 7, 2026
- HQ city · to JERSEY CITYJan 24, 2025 to May 7, 2026
- HQ state · to NJJan 24, 2025 to May 7, 2026
- State-registered IARs · 0 to 2Jan 24, 2025 to May 7, 2026
- Discretionary RAUM · $58.6M to $117MJan 24, 2025 to May 7, 2026
- HNW RAUM · $47.9M to $97.6MJan 24, 2025 to May 7, 2026
- Individual RAUM · $7.2M to $15.2MJan 24, 2025 to May 7, 2026
- Pension RAUM · $3.0M to $3.6MJan 24, 2025 to May 7, 2026
- Pooled vehicle RAUM · 0.0 to unsetJan 24, 2025 to May 7, 2026
- RAUM · $58.6M to $117MJan 24, 2025 to May 7, 2026
- Advisory activities · 4 to 5Oct 7, 2024 to Jan 24, 2025
- HQ city · unset to Oct 7, 2024 to Jan 24, 2025
- HQ state · unset to Oct 7, 2024 to Jan 24, 2025
- Assets in custody · unset to 58554170.0Apr 2, 2024 to Jun 21, 2024
- Custody of client assets · false to trueApr 2, 2024 to Jun 21, 2024
- Accounts · 0 to 125Feb 10, 2024 to Apr 2, 2024
- Charity clients · unset to 0.0Feb 10, 2024 to Apr 2, 2024
- Corporate clients · unset to 1.0Feb 10, 2024 to Apr 2, 2024
- HNW clients · unset to 15.0Feb 10, 2024 to Apr 2, 2024
- Individual clients · unset to 28.0Feb 10, 2024 to Apr 2, 2024
- Pension plan clients · unset to 5.0Feb 10, 2024 to Apr 2, 2024
- Pooled vehicle clients · unset to 0.0Feb 10, 2024 to Apr 2, 2024
- Discretionary RAUM · $0 to $58.6MFeb 10, 2024 to Apr 2, 2024
- HNW RAUM · unset to 47931727.0Feb 10, 2024 to Apr 2, 2024
- Individual RAUM · unset to 7201138.0Feb 10, 2024 to Apr 2, 2024
- Pension RAUM · unset to 2969636.0Feb 10, 2024 to Apr 2, 2024
- Pooled vehicle RAUM · unset to 0.0Feb 10, 2024 to Apr 2, 2024
- RAUM · $0 to $58.6MFeb 10, 2024 to Apr 2, 2024
- BD registered reps · 0 to 1Feb 2, 2024 to Feb 10, 2024
Signals
2 dated events
- C••• C•••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $58.6M)Mar 6, 2025 · Left the SEC roster · derived
- C••• C•••••• L•• filed its initial SEC registration (Form ADV)Dec 22, 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
- Business email
- k••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- b••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-785-6201reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-797-9080reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 551-414-3683reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-785-6201reportedpublic record, Form ADV, May 7, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $39.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026