DFX Intelligence

K••• P•••• A•••••••• 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••• P•••• A•••••••• L••

CRD 139379

VIENNA, VA

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Search this name across graphsid dfx:ria:e4de470e-ce12-2024-bf98-d78c6dd90d13

Data as of Apr 24, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Apr 24, 2014
8 observations

Across DFX

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

Private Equityidentity

K••• P•••• A•••••••• L••

Private equity manager · 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: $1.0B••• Locked
Discretionary RAUM: $494M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 30
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
D••••••••• A•••• H•••••••• L••	Private Equity Fund	$1.8M	Mar 27, 2013	16	Mar 30, 2012	reported	n/a
K••• P•••• S•••••• F•••• L••	Private Equity Fund	$19,126

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• C••••••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	11/2012	Mar 27, 2013	Apr 24, 2014
K••• P••••• L••	SOLE MEMBER	E	yes	01/2006	Mar 30, 2012	Apr 24, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••• C••••• O••••••••• F••• M••••••••• L••	n/a	n/a	n/a	Y	no	n/a
B•••••• G••••• M•••• F••• M••••••••• L••	n/a	n/a	n/a	Y	no	n/a
E•• S••••• F••• G• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Atlanta	Ga	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 28, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$1.0B	$860M	17.9%	n/a	n/a	30	30	n/a	n/a

Relationships

Controls (5)

← P••••• D••••• M•••••••OwnerCEO PRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← C•••• C••••••••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2013 to presentfactForm ADV
← Y••• K••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← S••••••• S•••••• L•••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4de470e-ce12-2024-bf98-d78c6dd90d13
First observed: Mar 30, 2012
Last observed: Apr 24, 2014 151 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.