DFX Intelligence

K••••• G•••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

K••••• G•••• I••

CRD 110421

BERWYN, PA

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Search this name across graphsid dfx:ria:0eae70f5-5a25-a247-b3c3-bc9a15fc66d8

Data as of Nov 12, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2011 to Nov 12, 2015
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.6B••• Locked
Discretionary RAUM: $2.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F•••• L•••••• P•••••••	Hedge Fund	$10.6M	Nov 12, 2015	27	Nov 17, 2011	reported	n/a
C••••••• G••••• F•••	Other Private Fund	$3.2M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• I••• G•••••• J•	VP; RESEARCH ANALYST AND MUTUAL FUND MANAGER	A	yes	03/2012	Nov 17, 2011	Nov 12, 2015
G••••• L••	DIRECTOR,EVP,HEAD OF RESEARCH	A	yes	03/2012	Nov 17, 2011	Nov 12, 2015

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Nov 12, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$2.6B	$3.5B	-27.4%	$2.0B	8.5%	13	12	n/a	n/a

Relationships

Advises (2)

→ F•••• L•••••• P•••••••Private fundHedge Fund, IA
Nov 17, 2011 to presentfactForm ADV
→ C••••••• G••••• F•••Private fundOther Private Fund, IA
Nov 17, 2011 to presentfactForm ADV

Owns (4)

← M••••• M••••••• P••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Feb 20, 2013 to presentfactForm ADV
← R•••• K••••• M••••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0eae70f5-5a25-a247-b3c3-bc9a15fc66d8
First observed: Nov 17, 2011
Last observed: Nov 12, 2015 132 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.