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•• W••••• L••
Latest filing Apr 2, 2026
First filing on the tape Aug 26, 2024 · 9 filings
SEC status approved since Oct 2, 2024
RAUM
$275M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
100%
$275M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$91.7M
derived; firm RAUM over IAPD count
Employees
6
2 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$275M as of Apr 2, 2026
Jan 24, 2025$108M then
HNW client RAUM$269M as of Apr 2, 2026
Jan 24, 2025$108M then
State-registered IARs (5.B.3)2 as of Apr 2, 2026
Jan 24, 20252 then
Employees (5.A)6 as of Apr 2, 2026
Jan 24, 20255 then
Private funds: no history
RAUM +155% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 2, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $91.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.8MderivedHNW RAUM over HNW clients
- Average account
- $12.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +155%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$269M98%
- Individuals$6.0M2.2%
- Individual clients
- 6reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•• A• K••••• | Chicago, Il | Jan 1, 2025 | 15 y | 0 |
| M••••• A•••••• S••••••••• | Chicago, Il | Feb 3, 2026 | 10 y | 2 |
| K••••••••• D•••• J••••••Certified Financial Planner | Gilbert, Az | Mar 16, 2026 | 26 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••• P•••••• H••••• to W•••• F•••• A•••••••May 27, 2025 · RIA to wirehouse
Joined, latest
- K••••••••• D•••• J•••••• from S•••• I••••• F•••••••• P•••••••Mar 16, 2026 · RIA to RIA
- M••••• A•••••• S••••••••• from N••••••••• M••••• I••••••••• S•••••••••Feb 3, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••• P•••••• · Head Of Business Developmentcontrolsince 06/2024 · owns less than 5%
- K•••••• C••• A• · Chief Compliance Officercontrolsince 06/2024 · owns 75% or more
- W••••• S••••• J•••• · Chief Operating Officercontrolsince 06/2024 · owns less than 5%
Related persons
Schedule D 7.A
- K•• V••••••••• A••••••• L••investment adviserbanky
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Apr 2, 2026hourly charges (Item 5.E.2): no on the filing of 2026-03-20, yes on the filing of 2026-04-02peers: independent wealth managers, $100M to $500M (5,678)
- discretionary share shiftChange between filings · filing Apr 2, 2026discretionary share of RAUM moved from 100.0% to 66.0% between the annual amendments of 2025-02-21 and 2026-04-02peers: independent wealth managers, $100M to $500M (5,678)
- RAUM up 50 %Change between filings · filing Apr 2, 2026RAUM (Item 5.F) moved from $108,000,000 to $275,175,897 (+155.0%) between the annual amendments of 2025-02-21 and 2026-04-02; the peer median change was +15.0% (4549 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 100% percentile
- business activity changedChange between filings · filing Apr 2, 2026financial planning (Item 5.G.1): no on the filing of 2026-03-20, yes on the filing of 2026-04-02peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 7 to 23Mar 20, 2026 to Apr 2, 2026
- Advisory employees · 1 to 2Mar 20, 2026 to Apr 2, 2026
- Advisory activities · 2 to 3Mar 20, 2026 to Apr 2, 2026
- Individual clients · unset to 6.0Mar 20, 2026 to Apr 2, 2026
- Financial planning clients · to 1-10Mar 20, 2026 to Apr 2, 2026
- State-registered IARs · 1 to 2Mar 20, 2026 to Apr 2, 2026
- Discretionary RAUM · $176M to $182MMar 20, 2026 to Apr 2, 2026
- Individual RAUM · unset to 6000000.0Mar 20, 2026 to Apr 2, 2026
- RAUM · $269M to $275MMar 20, 2026 to Apr 2, 2026
- HNW clients · 7 to 17Oct 23, 2025 to Mar 20, 2026
- Employees · 5 to 6Oct 23, 2025 to Mar 20, 2026
- Discretionary RAUM · $81.6M to $176MOct 23, 2025 to Mar 20, 2026
- HNW RAUM · $175M to $269MOct 23, 2025 to Mar 20, 2026
- RAUM · $175M to $269MOct 23, 2025 to Mar 20, 2026
- Advisory employees · 2 to 1Aug 14, 2025 to Oct 23, 2025
- State-registered IARs · 2 to 1Aug 14, 2025 to Oct 23, 2025
- Discretionary RAUM · $108M to $81.6MAug 14, 2025 to Oct 23, 2025
- HNW RAUM · $108M to $175MAug 14, 2025 to Oct 23, 2025
- Non-discretionary RAUM · $0 to $93.0MAug 14, 2025 to Oct 23, 2025
- RAUM · $108M to $175MAug 14, 2025 to Oct 23, 2025
- Financial planning clients · unset to Jan 24, 2025 to Feb 21, 2025
- Accounts · unset to 7.0Dec 10, 2024 to Jan 24, 2025
- Advisory employees · 4 to 2Dec 10, 2024 to Jan 24, 2025
- Advisory activities · 1 to 2Dec 10, 2024 to Jan 24, 2025
- HNW clients · unset to 7.0Dec 10, 2024 to Jan 24, 2025
- State-registered IARs · 0 to 2Dec 10, 2024 to Jan 24, 2025
- Discretionary RAUM · unset to 108000000.0Dec 10, 2024 to Jan 24, 2025
- HNW RAUM · unset to 108000000.0Dec 10, 2024 to Jan 24, 2025
- Non-discretionary RAUM · unset to 0.0Dec 10, 2024 to Jan 24, 2025
- RAUM · unset to 108000000.0Dec 10, 2024 to Jan 24, 2025
- Related adviser · true to falseDec 10, 2024 to Jan 24, 2025
Signals
2 dated events
- J••• P•••••• H••••• left K•• W••••• L•• for W•••• F•••• A••••••• (registered 2026-01-29)May 27, 2025 · Advisor changed firm · fact
- K•• W••••• L•• filed its initial SEC registration (Form ADV)Aug 26, 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
- Principal office phone
- 312-605-8020reportedpublic record, Form ADV, Apr 2, 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
- $91.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026