DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C•••••••• N••• A•••••• L••

CRD 338431

NEW YORK, NY

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Search this name across graphsid dfx:ria:e7e1c961-11a4-916b-c01c-b19f547f5e21

Data as of Apr 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 2
Observed: Aug 29, 2025 to Apr 1, 2026
2 observations

Across DFX

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

Private Equityidentity

C•••••••• N••• A•••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

C•••••••• N••• A•••••• L••

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=15.0
Regulatory AUM: $259M••• Locked
Discretionary RAUM: $259M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
A••••••s on IAPD: 0
Employees: 206

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• K••••••• J•••	ELECTED MANAGER AND CHIEF EXECUTIVE OFFICER	Na	yes	04/2015	Apr 1, 2026	Apr 1, 2026
K••••••• C••••••••• B•••	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	03/2024	Apr 1, 2026	Apr 1, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	A••••••y staff	Offices	Private funds	Fund GAV
2025	Apr 1, 2026	$259M	$259M	206	79	4	1	n/a

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	$259M	n/a	n/a	n/a	n/a	206	n/a	4	n/a

Relationships

Controls (5)

← V•••••••• S••••• N••OwnerSENIOR MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 1, 2026 to presentfactForm ADV
← M••••••• J•••• D••••OwnerSENIOR MANAGING DIRECTOR, GENERAL COUNSEL, ownership code NA, individual
Apr 1, 2026 to presentfactForm ADV
← K•••••• K••••••• J•••OwnerELECTED MANAGER AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Apr 1, 2026 to presentfactForm ADV
← K••••••• C••••••••• B•••OwnerMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e7e1c961-11a4-916b-c01c-b19f547f5e21
First observed: Aug 29, 2025
Last observed: Apr 1, 2026 5 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.