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
K••••••• I••••••••• G••••
Legal name K••••••• I••••••••• G••••• L••
Latest filing Mar 20, 2026
First filing on the tape Dec 10, 2025 · 3 filings
SEC status approved since Dec 18, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$25.3M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$127M as of Mar 20, 2026
Dec 10, 2025$120M then
HNW client RAUM$41.8M as of Mar 20, 2026
Dec 10, 2025$71.6M then
State-registered IARs (5.B.3)5 as of Mar 20, 2026
Dec 10, 20254 then
Employees (5.A)7 as of Mar 20, 2026
Dec 10, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $25.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $288,266derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $23.3M, 59 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
- Individuals$84.2M67%
- High-net-worth individuals$41.8M33%
- Corporations and businesses$576,3330.5%
- Individual clients
- 228reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 439reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.3M for 59 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• A••• A•••• | K•••••••, Tx | May 9, 2024 | 10 y | 1 |
| G••• R•• A•••• | K•••••••, Tx | May 9, 2024 | 31 y | 3 |
| T•••• A• C••••••••• | K•••••••, Tx | Apr 1, 2025 | 19 y | 3 |
| A•••••••• J••••• L•••••• | K•••••••, Tx | May 16, 2025 | 10 y | 1 |
| C•••• P•••••• M•••••• | K•••••••, Tx | Dec 8, 2025 | 11 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
- A•••••••• J••••• L•••••• from N••• F•••••••• G••••• I•••May 16, 2025 · Affiliated broker-dealer or bank to independent RIA
- T•••• A• C••••••••• from N••• F•••••••• G••••• I•••Apr 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- G••• R•• A•••• from N••• F•••••••• G••••• I•••May 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• A••• A•••• from N••• F•••••••• G••••• I•••May 9, 2024 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••• F•••••••• G••••• I•••Oct 18, 2024 · K•••••••, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• G•••• R•• · Ceocontrolsince 04/2024 · owns 50% to 75%
- M••••••• C••••• P•••••• · Vice Presidentcontrolsince 12/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| K•••••••, Tx · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 430 to 439Feb 16, 2026 to Mar 20, 2026
- Advisory employees · 4 to 5Feb 16, 2026 to Mar 20, 2026
- HNW clients · 39 to 16Feb 16, 2026 to Mar 20, 2026
- Individual clients · 147 to 228Feb 16, 2026 to Mar 20, 2026
- Assets in custody · $21.4M to $23.3MFeb 16, 2026 to Mar 20, 2026
- Employees · 5 to 7Feb 16, 2026 to Mar 20, 2026
- State-registered IARs · 4 to 5Feb 16, 2026 to Mar 20, 2026
- Discretionary RAUM · $120M to $127MFeb 16, 2026 to Mar 20, 2026
- HNW RAUM · $71.6M to $41.8MFeb 16, 2026 to Mar 20, 2026
- Individual RAUM · $43.5M to $84.2MFeb 16, 2026 to Mar 20, 2026
- RAUM · $120M to $127MFeb 16, 2026 to Mar 20, 2026
Signals
1 dated events
- 2 advisors left N••• F•••••••• G••••• I••• (K•••••••, TX) for K••••••• I••••••••• G•••• on the same dayOct 18, 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
- Business phone
- 281-359-7900reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-770-7900reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.t•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-359-7900reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- t•••••.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
- $25.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026