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
L••• K••••••• • K•••• W••••• M•••••••••
Legal name L••• K•••••••• • K•••• W••••• M••••••••• L••
Latest filing Jun 5, 2026
First filing on the tape May 28, 2024 · 9 filings
SEC status approved since Jun 27, 2024
RAUM
$252M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$232M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$84.1M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$252M as of Jun 5, 2026
Mar 28, 2025$199M then
HNW client RAUM$201M as of Jun 5, 2026
Mar 28, 2025$24.2M then
State-registered IARs (5.B.3)3 as of Jun 5, 2026
Mar 28, 20252 then
Employees (5.A)3 as of Jun 5, 2026
Mar 28, 20252 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 2 to 3offices 0 to 2
Practice profile
derived from the filing of Jun 5, 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
- $84.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $555,943derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$201M80%
- Individuals$31.2M12%
- Charitable organizations$15.2M6.0%
- Corporations and businesses$3.3M1.3%
- Pension and profit-sharing plans$1.8M0.7%
- Individual clients
- 91reported
- HNW clients
- 60reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 454reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• P••• K••••••• | Ellicott City, Md | Aug 7, 2024 | 10 y | 1 |
| J•••• H•••••• L•• | Ellicott City, Md | Aug 7, 2024 | 28 y | 3 |
| M•••••• G••••• K••••Certified Financial Planner, Chartered Financial Analyst | Ellicott City, Md | Mar 1, 2026 | 19 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- M•••••• G••••• K•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 1, 2026 · Wirehouse to independent RIA
- W•••••• P••• K••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 7, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••• H•••••• L•• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 7, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 22, 2024 · Columbia, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• W••••••• P••• · Owner And Ccocontrolsince 07/2024 · owns 10% to 25%
- L••• J••••• H•••••• · Ownercontrolsince 07/2024 · 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 |
|---|---|---|---|---|---|
| Ellicott City, Md | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 12.0% to 80.0% between the annual amendments of 2025-03-28 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Business name · L••••••••• W••••• M••••••••• to L••• K••••••• • K•••• W••••• M•••••••••Mar 30, 2026 to Jun 5, 2026
- Other offices · 0 to 2Mar 30, 2026 to Jun 5, 2026
- Accounts · 360 to 454Nov 10, 2025 to Mar 30, 2026
- Advisory employees · 2 to 3Nov 10, 2025 to Mar 30, 2026
- HNW clients · 76 to 60Nov 10, 2025 to Mar 30, 2026
- Individual clients · 50 to 91Nov 10, 2025 to Mar 30, 2026
- Pension plan clients · 4 to 1Nov 10, 2025 to Mar 30, 2026
- Employees · 2 to 3Nov 10, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 3Nov 10, 2025 to Mar 30, 2026
- Legal name · L••••••••• W••••• M••••••••• to L••• K•••••••• • K•••• W••••• M••••••••• L••Nov 10, 2025 to Mar 30, 2026
- Discretionary RAUM · $193M to $252MNov 10, 2025 to Mar 30, 2026
- HNW RAUM · $24.2M to $201MNov 10, 2025 to Mar 30, 2026
- Individual RAUM · $150M to $31.2MNov 10, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $5.9M to $0Nov 10, 2025 to Mar 30, 2026
- Pension RAUM · $8.3M to $1.8MNov 10, 2025 to Mar 30, 2026
- RAUM · $199M to $252MNov 10, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Nov 10, 2025
- Accounts · 330 to 360Oct 8, 2024 to Mar 28, 2025
- Corporate clients · 4 to 2Oct 8, 2024 to Mar 28, 2025
- HNW clients · 45 to 76Oct 8, 2024 to Mar 28, 2025
- Pension plan clients · 1 to 4Oct 8, 2024 to Mar 28, 2025
- HQ city · unset to Oct 8, 2024 to Mar 28, 2025
- HQ state · unset to Oct 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $187M to $193MOct 8, 2024 to Mar 28, 2025
- HNW RAUM · $121M to $24.2MOct 8, 2024 to Mar 28, 2025
- Individual RAUM · $50.0M to $150MOct 8, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $5.0M to $5.9MOct 8, 2024 to Mar 28, 2025
- Pension RAUM · $1.0M to $8.3MOct 8, 2024 to Mar 28, 2025
- RAUM · $192M to $199MOct 8, 2024 to Mar 28, 2025
- Accounts · 0 to 330Jul 8, 2024 to Sep 18, 2024
- Charity clients · unset to 1.0Jul 8, 2024 to Sep 18, 2024
- Corporate clients · unset to 4.0Jul 8, 2024 to Sep 18, 2024
- HNW clients · unset to 45.0Jul 8, 2024 to Sep 18, 2024
- Individual clients · unset to 50.0Jul 8, 2024 to Sep 18, 2024
- Pension plan clients · unset to 1.0Jul 8, 2024 to Sep 18, 2024
- Discretionary RAUM · $0 to $187MJul 8, 2024 to Sep 18, 2024
- HNW RAUM · unset to 121000000.0Jul 8, 2024 to Sep 18, 2024
- Individual RAUM · unset to 50000000.0Jul 8, 2024 to Sep 18, 2024
- Non-discretionary RAUM · $0 to $5.0MJul 8, 2024 to Sep 18, 2024
- Pension RAUM · unset to 1000000.0Jul 8, 2024 to Sep 18, 2024
Signals
5 dated events
- 2 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Columbia, MD) for L••• K••••••• • K•••• W••••• M••••••••• on the same dayJul 22, 2024 · Team lift-out · derived
- M•••• C•••••• Lee (Owner, Manager, And Cco) no longer on Schedule A of L••• K••••••• • K•••• W••••• M••••••••• (listed 2024-06-17, absent 2024-07-08)Jul 8, 2024 · Control person left · inference
- Hengsuk James Lee (Owner) appeared on Schedule A of L••• K••••••• • K•••• W••••• M•••••••••Jul 8, 2024 · Control person joined · fact
- P••• W•••••• K••••••• (Owner And Cco) appeared on Schedule A of L••• K••••••• • K•••• W••••• M•••••••••Jul 8, 2024 · Control person joined · fact
- L•• K••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 28, 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 email
- c••••••@l••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 301-450-2617reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/lee-kelleher-klein-wealth-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- l••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 301-450-2617reportedpublic record, Form ADV, Jun 5, 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
- $84.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026