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
1••• I••••••••• M•••••••••
Legal name 1••• I••••••••• M••••••••• L••
Latest filing May 22, 2026
First filing on the tape Aug 20, 2025 · 4 filings
SEC status approved since Sep 19, 2025
RAUM
$4.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$1.5B
derived; firm RAUM over IAPD count
Employees
6
5 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$4.6B as of May 22, 2026
Aug 20, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of May 22, 2026
Aug 20, 20255 then
Employees (5.A)6 as of May 22, 2026
Aug 20, 20256 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $1.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $657MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%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
- 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$4.3B93%
- Pension and profit-sharing plans$213M4.6%
- Charitable organizations$88.3M1.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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 |
|---|---|---|---|---|
| K•••• H•••••• L•••Chartered Financial Analyst | Newark, Nj | Oct 3, 2025 | 12 y | 0 |
| K•••• P• C•••••••Chartered Financial Analyst | Blauvelt, Ny | Jul 10, 2026 | 12 y | 0 |
| R•••••• A•••• L••••Chartered Financial Analyst | Newark, Nj | Aug 13, 2026 | 10 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
- L•••• K••••• H•••••• · Ccocontrolsince 07/2025 · owns less than 5%
- R••••••••• D••••• J•••••• · President And Treasurercontrolsince 11/2025 · owns less than 5%
Entity owners
- H•••••• D••••••••• H•••••••• I••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Newark, Nj · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 7Mar 19, 2026 to May 22, 2026
- Discretionary RAUM · $788M to $4.6BMar 19, 2026 to May 22, 2026
- Pension RAUM · $216M to $213MMar 19, 2026 to May 22, 2026
- RAUM · $788M to $4.6BMar 19, 2026 to May 22, 2026
- Accounts · 0 to 3Aug 20, 2025 to Feb 3, 2026
- Discretionary RAUM · $0 to $788MAug 20, 2025 to Feb 3, 2026
- Pension RAUM · unset to 216000000.0Aug 20, 2025 to Feb 3, 2026
- RAUM · $0 to $788MAug 20, 2025 to Feb 3, 2026
Signals
1 dated events
- 1••• I••••••••• M••••••••• reported RAUM $4.6B, up 483% from $788.0M (2026-03-19 to 2026-05-22)May 22, 2026 · RAUM change · derived
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
- 800-355-2583reportedpublic record, Form ADV, May 22, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026