DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

L•••••••• C••••••• I••

CRD 161700

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Search this name across graphsid dfx:ria:ac7411ca-960d-5ab8-7fc7-23bed8230004

Data as of Feb 23, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Feb 14, 2012 to Feb 23, 2022
13 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: $65.0M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• I••••••••• L••••••••• T••••	Other Private Fund	$5.3M	Feb 26, 2015	80	Feb 14, 2012	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••• C••••••• F•	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	12/2006	Feb 14, 2012	Feb 23, 2022

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	$65.0M	$60.0M	8.3%	$182M	-29.1%	1	1	0	0

Relationships

Controls (1)

← K••••• C••••••• F•OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 14, 2012 to presentfactForm ADV

Advises (1)

→ P•••••• I••••••••• L••••••••• T••••Private fundOther Private Fund, IA, no longer reported
Feb 14, 2012 to Feb 26, 2015factForm ADV

Dated events

Occurred
Mar 8, 2020
Regulatory AUM changed
L•••••••• C••••••• I•• reported RAUM $53.0M, down 71% from $182.0M (2019-03-06 to 2020-03-08)
Form ADVobserved 7 days ago
$-129M
Occurred
Mar 2, 2018
Regulatory AUM changed
L•••••••• C••••••• I•• reported RAUM $182.0M, down 89% from $1.7B (2017-03-02 to 2018-03-02)
Form ADVobserved 7 days ago
$-1.5B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac7411ca-960d-5ab8-7fc7-23bed8230004
First observed: Feb 14, 2012
Last observed: Feb 23, 2022 55 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.