DFX Intelligence

K•••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

K•••• C•••••• M••••••••• L••

CRD 329110

NEW YORK, NY

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Search this name across graphsid dfx:ria:0933e928-8f44-9666-8099-ba6d8b3b7a54

Data as of Jul 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 2
Observed: Nov 24, 2023 to Jul 24, 2026
6 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

K•••• C•••••• M••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

K•••• C•••••• M••••••••• L••

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=13.0
Regulatory AUM: $48.4M••• Locked
Discretionary RAUM: $48.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 50

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• D••••• I••••	MANAGING DIRECTOR AND GENERAL COUNSEL	Na	yes	03/2021	Nov 24, 2023	Aug 21, 2024
C•••••• H••••• I••••••••• L•••	Shareholder	C	yes	08/2010	Nov 30, 2023	Aug 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••• F•••• A•••••••• L••	n/a	Asset manager	$12B	Y	yes	n/a
G••• W••••• M••••••••• L••	n/a	Former SEC adviser	$243,447	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	1	no
SAN FRANCISCO	CA	United States	0	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$48.4M	$15.4M	214.4%	n/a	n/a	50	22	0	2

Relationships

Affiliated with (4)

→ K•••• F•••• A•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ G••• W••••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← K•••• F•••• A•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← G••• W••••• M••••••••• L••Registered adviser

Dated events

Occurred
Nov 24, 2023
First Form ADV filing
K•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0933e928-8f44-9666-8099-ba6d8b3b7a54
First observed: Nov 24, 2023
Last observed: Jul 24, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.