DFX Intelligence

K••••• I••••••••• G••••• L••: 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••••• I••••••••• G••••• L••

CRD 127880

CHICAGO, IL

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Data as of Jan 13, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 0
On other graphs: 1
Observed: Feb 15, 2012 to Jan 13, 2016
17 observations

Across DFX

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

Private Equityidentity

K••••• I••••••••• G••••• L••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

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: $3.1B••• Locked
Discretionary RAUM: $3.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 50
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• M•••• S•••••	PRESIDENT, CHIEF OPERATING OFFICER	B	yes	07/2003	Feb 15, 2012	Jan 13, 2016
K•••••• M•••••••• A••••	CHAIRMAN/CHIEF EXECUTIVE OFFICER	C	yes	07/2003	Feb 15, 2012	Jan 13, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K••••• S••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 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
2014	$3.1B	$3.2B	-1.8%	$2.0B	16.1%	50	46	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••••• A•••• M••••••••• L••	19	Dec 31, 2015	Jan 5, 2016	CHICAGO, IL	Firm absorbed	Other	100.0%

Relationships

Owns (5)

← G••••••••• H•••••• W••••••OwnerMEMBER, ownership code NA, individual
Feb 15, 2012 to presentfactForm ADV
← R•••• T•••••••• J••OwnerMEMBER, VICE PRESIDENT - OPERATIONS, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Feb 15, 2012 to presentfactForm ADV
← H••••• J•••• D•••••••OwnerMEMBER, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← H•••••• S•••••• E•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 15, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 15, 2012
Last observed: Jan 13, 2016 130 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.