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••••• F•••••••• L••
Latest filing May 12, 2026
First filing on the tape Apr 5, 2024 · 9 filings
SEC status approved since May 6, 2024
RAUM
$384M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$375M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$384M as of May 12, 2026
Jan 17, 2025$300M then
HNW client RAUM$325M as of May 12, 2026
Jan 17, 2025$247M then
State-registered IARs (5.B.3)3 as of May 12, 2026
Jan 17, 20252 then
Employees (5.A)5 as of May 12, 2026
Jan 17, 20253 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of May 12, 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
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $523,809derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$325M85%
- Individuals$50.0M13%
- Charitable organizations$5.7M1.5%
- Pension and profit-sharing plans$2.5M0.7%
- Corporations and businesses$387,9350.1%
- Individual clients
- 166reported
- HNW clients
- 86reported
- Pension plan clients
- 3reported
- Charitable clients
- 4reported
- Accounts
- 733reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| C•••••••• A• W••• | Novato, Ca | Jul 1, 2024 | 11 y | 1 |
| R•••••• W•••• K•••••Certified Financial Planner | Novato, Ca | Jan 1, 2026 | 36 y | 2 |
| G••• S•••••• C•••••• | Novato, Ca | Sep 14, 2026 | 27 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- G••• S•••••• C•••••• from W•••••• I••••••••• S•••••••••Sep 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•••••• W•••• K••••• from W•••••• I••••••••• S•••••••••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• A• W••• from W•••••• I••••••••• S•••••••••Jul 1, 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
- A••••••• R•••• E• · Membercontrolsince 01/2019 · owns 10% to 25%
- W•••• C••••••••• A• · Managing Member & Chief Compliance Officercontrolsince 01/2024 · 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 |
|---|---|---|---|---|---|
| Novato, Ca · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Feb 10, 2026 to May 12, 2026
- BD registered reps · 2 to 1Feb 10, 2026 to May 12, 2026
- Employees · 3 to 5Feb 10, 2026 to May 12, 2026
- Insurance-licensed employees · 2 to 0Feb 10, 2026 to May 12, 2026
- State-registered IARs · 2 to 3Feb 10, 2026 to May 12, 2026
- Accounts · 680 to 733Nov 18, 2025 to Feb 10, 2026
- Charity clients · 0 to 4Nov 18, 2025 to Feb 10, 2026
- Corporate clients · 0 to 3Nov 18, 2025 to Feb 10, 2026
- HNW clients · 85 to 86Nov 18, 2025 to Feb 10, 2026
- Individual clients · 186 to 166Nov 18, 2025 to Feb 10, 2026
- Pension plan clients · 0 to 3Nov 18, 2025 to Feb 10, 2026
- Financial planning clients · 11-25 to 26-50Nov 18, 2025 to Feb 10, 2026
- Discretionary RAUM · $300M to $384MNov 18, 2025 to Feb 10, 2026
- HNW RAUM · $247M to $325MNov 18, 2025 to Feb 10, 2026
- Individual RAUM · $53.0M to $50.0MNov 18, 2025 to Feb 10, 2026
- Pension RAUM · $0 to $2.5MNov 18, 2025 to Feb 10, 2026
- RAUM · $300M to $384MNov 18, 2025 to Feb 10, 2026
- Accounts · 35 to 680Sep 24, 2024 to Jan 17, 2025
- HNW clients · 12 to 85Sep 24, 2024 to Jan 17, 2025
- Individual clients · 0 to 186Sep 24, 2024 to Jan 17, 2025
- Financial planning clients · 0 to 11-25Sep 24, 2024 to Jan 17, 2025
- Discretionary RAUM · $109M to $300MSep 24, 2024 to Jan 17, 2025
- HNW RAUM · $109M to $247MSep 24, 2024 to Jan 17, 2025
- Individual RAUM · $0 to $53.0MSep 24, 2024 to Jan 17, 2025
- RAUM · $109M to $300MSep 24, 2024 to Jan 17, 2025
- Accounts · 0 to 35Jul 2, 2024 to Sep 12, 2024
- Charity clients · unset to 0.0Jul 2, 2024 to Sep 12, 2024
- Corporate clients · unset to 0.0Jul 2, 2024 to Sep 12, 2024
- HNW clients · unset to 12.0Jul 2, 2024 to Sep 12, 2024
- Individual clients · unset to 0.0Jul 2, 2024 to Sep 12, 2024
- Pension plan clients · unset to 0.0Jul 2, 2024 to Sep 12, 2024
- Pooled vehicle clients · unset to 0.0Jul 2, 2024 to Sep 12, 2024
- Discretionary RAUM · $0 to $109MJul 2, 2024 to Sep 12, 2024
- HNW RAUM · unset to 109461420.0Jul 2, 2024 to Sep 12, 2024
- Individual RAUM · unset to 0.0Jul 2, 2024 to Sep 12, 2024
- Pension RAUM · unset to 0.0Jul 2, 2024 to Sep 12, 2024
- Pooled vehicle RAUM · unset to 0.0Jul 2, 2024 to Sep 12, 2024
- RAUM · $0 to $109MJul 2, 2024 to Sep 12, 2024
Signals
2 dated events
- K••••• F•••••••• L•• reported RAUM $300.0M, up 174% from $109.5M (2024-09-24 to 2025-01-17)Jan 17, 2025 · RAUM change · derived
- K••••• F•••••••• L•• filed its initial SEC registration (Form ADV)Apr 5, 2024 · 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
- 415-892-0928reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-898-2441reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-748-6338reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ketron-financialreportedpublic record, Form ADV, Sep 19, 2026
- Website
- k•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-892-0928reportedpublic record, Form ADV, May 12, 2026
- Contact form
- k•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- k•••••••••.comreportedpublished 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026