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
O•• O••
Legal name O•• O•• H••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Apr 1, 2026 · 2 filings
SEC status approved since Apr 20, 2026
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
64%
$70.1M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$27.6M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$110M as of Jul 15, 2026
Apr 1, 2026$110M then
HNW client RAUM$70.1M as of Jul 15, 2026
Apr 1, 2026$70.1M then
State-registered IARs (5.B.3)3 as of Jul 15, 2026
Apr 1, 20263 then
Employees (5.A)7 as of Jul 15, 2026
Apr 1, 20267 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 15, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $27.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.0MderivedHNW RAUM over HNW clients
- Average account
- $6.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$70.1M64%
- Charitable organizations$40.2M36%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- 13reported
- Accounts
- 18reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.64 fund_share=0.0 institutional_share=0.36 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• R••••• | North Bethesda, Md | Sep 23, 2025 | 11 y | 0 |
| K••••• A•••• P•••• | North Bethesda, Md | Sep 24, 2025 | 10 y | 0 |
| K••••• H•••• U••••• | North Bethesda, Md | Dec 2, 2025 | 12 y | 1 |
| E••••• D•••• K••••• | North Bethesda, Md | Apr 13, 2026 | 14 y | 3 |
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
- E••••• D•••• K••••• from A•••• I•••••• L••Apr 13, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• A•••• K••••• · Managing Partnercontrolsince 01/2026 · owns 75% or more
- U•••••• K•••••• H•••• · Partner And Chief Compliance Officercontrolsince 12/2024 · owns 10% to 25%
- R•••••• S•••• · Partnersince 12/2024 · 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 |
|---|---|---|---|---|---|
| North Bethesda, Md | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jul 15, 2026advises private funds (Item 7.B): no on the filing of 2026-04-01, yes on the filing of 2026-07-15peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Jul 15, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-04-01, yes on the filing of 2026-07-15peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Jul 15, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-04-01, yes on the filing of 2026-07-15peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 6Apr 1, 2026 to Jul 15, 2026
- Private funds · unset to 1Apr 1, 2026 to Jul 15, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- O•• O•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- c••••••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 302-754-1625reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- i•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (302) 754-1625reportedpublic record, Form ADV, Jul 15, 2026
- Contact form
- i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- i•••••••••.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
- $27.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026