DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

K•••• L••• A•••• M••••••••• •••••••• C••• L•••

CRD 174341

NEW YORK, NY

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Search this name across graphsid dfx:ria:13d91099-774c-63f1-42b8-f5252acbb938

Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 18
On other graphs: 0
Observed: Jan 12, 2015 to May 1, 2026
29 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $1.5B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••• H•• S•••	President	Na	yes	01/2024	Jan 12, 2015	Mar 27, 2024
S••• J••••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2023	Oct 16, 2023	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••• L••• I•••••••• C••• L•••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$1.5B	$1.5B	1.4%	$1.3B	4.9%	4	3	0	0

Relationships

Controls (2)

← K••• H•• S•••OwnerPRESIDENT, ownership code NA, individual
Jan 12, 2015 to Mar 27, 2024factForm ADV
← S••• J••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 16, 2023 to Mar 27, 2024factForm ADV

Owns (2)

← S•••• C••••••••OwnerSHAREHOLDER, ownership code C, individual
Jan 27, 2015 to Mar 27, 2024factForm ADV
← K•••• L••• I•••••••• C••• L•••OwnerSOLE MEMBER, ownership code E, foreign entity

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 1, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
May 1, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 27, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13d91099-774c-63f1-42b8-f5252acbb938
First observed: Jan 12, 2015
Last observed: May 1, 2026 4 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.