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
A•••• C••••••
Legal name A•••• C•••••• L••
Latest filing Jan 31, 2026
First filing on the tape Mar 4, 2025 · 4 filings
SEC status approved since Mar 21, 2025
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.9%
$6.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$140M as of Jan 31, 2026
Mar 4, 2025$0 then
HNW client RAUM$6.8M as of Jan 31, 2026
May 29, 2025$109M then
State-registered IARs (5.B.3)1 as of Jan 31, 2026
Mar 4, 20251 then
Employees (5.A)3 as of Jan 31, 2026
Mar 4, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.8MderivedHNW RAUM over HNW clients
- Average account
- $35.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$6.8M100%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.05 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• K••••••• | Omaha, Ne | Sep 18, 2025 | 12 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · unset to 1.0Sep 23, 2025 to Jan 31, 2026
- Discretionary RAUM · $109M to $140MSep 23, 2025 to Jan 31, 2026
- HNW RAUM · unset to 6800831.0Sep 23, 2025 to Jan 31, 2026
- RAUM · $109M to $140MSep 23, 2025 to Jan 31, 2026
- HNW clients · 1.0 to unsetMay 29, 2025 to Sep 23, 2025
- HNW RAUM · 108518899.0 to unsetMay 29, 2025 to Sep 23, 2025
- Accounts · 0 to 4Mar 4, 2025 to May 29, 2025
- HNW clients · unset to 1.0Mar 4, 2025 to May 29, 2025
- Financial planning clients · unset to Mar 4, 2025 to May 29, 2025
- Discretionary RAUM · $0 to $109MMar 4, 2025 to May 29, 2025
- HNW RAUM · unset to 108518899.0Mar 4, 2025 to May 29, 2025
- RAUM · $0 to $109MMar 4, 2025 to May 29, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A•••• C•••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- (574) 607-7329reportedpublic record, Form ADV, Jan 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026