DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

K•••••••• C•••••• M••••••••• L••

CRD 161445

POINT RICHMOND, CA

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Search this name across graphsid dfx:ria:988dd364-b985-0788-b8c4-37bc15899707

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 5
On other graphs: 0
Observed: Feb 14, 2012 to Mar 26, 2026
22 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=0.21 institutional_share=0.79 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $127M••• Locked
Discretionary RAUM: $127M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
K•••••••• A•••• C•••••• M••••• F•••• L•••	Hedge Fund	$34.6M	Mar 25, 2024	7	Mar 29, 2017	reported	021-263601
Y•• P•••••••• L•••	Hedge Fund	$4.3M	Mar 31, 2022

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• J•••• A•••••	CCO/CFO	Na	yes	02/2017	Mar 8, 2017	Mar 25, 2024
W••••••• M••••••• I••	MANAGER AND MEMBER	E	yes	11/2001	Feb 14, 2012	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••••••• A•••• C•••••• M••••• G• L••	n/a	n/a	n/a	N	yes	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	$127M	$149M	-15.1%	$164M	-8.1%	4	5	0	0

Relationships

Advises (4)

→ K•••••••• A•••• C•••••• M••••• F•••• L•••Private fundHedge Fund, IA
Mar 29, 2017 to presentfactForm ADV
→ K•••••••• I•••••••••Private fundHedge Fund, IA
Feb 14, 2012 to presentfactForm ADV
→ Y•• P•••••••• L•••Private fundHedge Fund, IA, no longer reported
Jun 21, 2017 to Mar 31, 2022factForm ADV
→ K•••••••• C•••••• P•••••••• L•••

Dated events

Occurred
Mar 29, 2023
Control person left
Markham Brian Cooney (Coo) no longer on Schedule A of K•••••••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2023-03-29)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
K•••••••• C•••••• M••••••••• L•• reported RAUM $160.7M, down 73% from $600.1M (2021-03-29 to 2022-03-31)
Form ADVobserved 7 days ago
$-439M
Occurred
Mar 26, 2020
Regulatory AUM changed
K•••••••• C•••••• M••••••••• L•• reported RAUM $606.4M, up 39% from $436.5M (2019-03-28 to 2020-03-26)
Form ADVobserved 7 days ago
$170M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:988dd364-b985-0788-b8c4-37bc15899707
First observed: Feb 14, 2012
Last observed: Mar 26, 2026 6 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.