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••••• P•••••••
Legal name K•• W••••• P••••••• I•••
Latest filing Jan 12, 2026
First filing on the tape Jan 12, 2026 · 1 filings
RAUM
$66.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$63.0M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jan 12, 2026; every figure names its basis
- RAUM per advisor
- $22.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $307,101derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $66.6M, 77 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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
- High-net-worth individuals$47.9M72%
- Individuals$15.0M23%
- Pension and profit-sharing plans$2.8M4.2%
- Corporations and businesses$563,5980.8%
- Charitable organizations$328,6870.5%
- Individual clients
- 44reported
- HNW clients
- 27reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 217reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.6M for 77 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• H•••••Certified Financial Planner | Northbrook, Il | May 22, 2024 | 18 y | 6 |
| K•••• K••••••• | Northbrook, Il | May 23, 2024 | 21 y | 4 |
| R•••• L•• H•••••Certified Financial Planner, Chartered Financial Consultant | Northbrook, Il | Aug 21, 2024 | 36 y | 3 |
Advisor movement
Left, latest
none on the tape
Joined, latest
- R•••• L•• H••••• from P••••••••• A•••••• G••••• L••Aug 21, 2024 · Other
- K•••• K••••••• from K••••• A••••••• S•••••••• L••May 23, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• J••••• H••••• from K••••• A••••••• S•••••••• L••May 22, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••• A••••••• S•••••••• L••May 23, 2024 · Northbrook, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Northbrook, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- 2 advisors left K••••• A••••••• S•••••••• L•• (Northbrook, IL) for K•• W••••• P••••••• on the same dayMay 23, 2024 · Team lift-out · derived
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
- Principal office phone
- 224-235-4307reportedpublic record, Form ADV, Jan 12, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026