DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

K•••• I••••••••• P••••••• L••

CRD 166116

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:43414e45-55ce-a051-d926-74122bdbe128

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Nov 14, 2012 to Mar 30, 2022
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: $515M••• Locked
Discretionary RAUM: $515M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
K•••• I••••••••• P••••••• M••••• F•••• L•••	Hedge Fund	$139M	Mar 30, 2022	53	Nov 14, 2012	reported	021-193005

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• N•••••• S••••	MANAGING MEMBER	B	yes	07/2012	Nov 14, 2012	Mar 30, 2022
F•••••• M••••••• E•••••	Member	Na	yes	07/2012	Nov 14, 2012	Mar 30, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••••••• P•••••••• M••••• G• L••	n/a	n/a	n/a	N	yes	n/a
K•••• I••••••••• P••••••• M••••• G•• L•••	n/a	n/a	n/a	N	yes	n/a
K•••• M••••••••• G•••• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
TAIPEI 106	n/a	Taiwan, Republic of China	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$515M	$1.3B	-59.7%	$359M	12.7%	10	10	1	1

Relationships

Advises (1)

→ K•••• I••••••••• P••••••• M••••• F•••• L•••Private fundHedge Fund, IA
Nov 14, 2012 to presentfactForm ADV

Controls (6)

← O•••••• S•••••• M••••OwnerCCO & COO, ownership code NA, individual
Apr 26, 2016 to presentfactForm ADV
← H••••• C•••••• W•••••OwnerMANAGING MEMBER, ownership code C, individual
Nov 14, 2012 to presentfactForm ADV
← L••••••••• K•••• A••••OwnerMANAGING MEMBER, ownership code B, individual

Dated events

Occurred
Mar 30, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-763M
Occurred
Mar 26, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$622M
Occurred
Mar 24, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$296M
Occurred
Nov 14, 2012
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43414e45-55ce-a051-d926-74122bdbe128
First observed: Nov 14, 2012
Last observed: Mar 30, 2022 54 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.