DFX Intelligence

K•••• M••••••• ••• 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•••• M••••••• ••• L••••••

CRD 138885

LONDON

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Data as of Nov 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 0
On other graphs: 0
Observed: Jun 29, 2012 to Nov 30, 2016
8 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: $2.4B••• Locked
Discretionary RAUM: $2.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 37
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
K• F•••• I••••• O••••••••• F•••	Other Private Fund	$150M	Nov 30, 2016	56	Jun 29, 2015	reported	n/a
K•••• F•••• M••••••• P••• I•	Other Private Fund	$119M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• A•••••••	Director	Na	yes	12/2005	Jun 29, 2012	Nov 30, 2016
D•••••• C••••••••• J••••••••• T••••••••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2014	Jul 3, 2014	Nov 30, 2016

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Dubai	n/a	United Arab Emirates	n/a	no
Singapore	n/a	Singapore	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Jun 29, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$2.4B	$1.9B	27.1%	$1.4B	21.7%	37	37	n/a	n/a

Relationships

Advises (18)

→ K• F•••• I••••• O••••••••• F•••Private fundOther Private Fund, IA
Jun 29, 2015 to presentfactForm ADV
→ K• O••••••••• F••• S•• • K•••• F•••• T••• F••• I••Private fundHedge Fund, IA
Jun 29, 2016 to presentfactForm ADV
→ K• O••••••••• F••• S•• • K•••• F•••• T••• F••• V•Private fundHedge Fund, IA
Jun 29, 2016 to presentfactForm ADV
→ K• • O••••••••• F••• S•• • K•••• I•••• L•••••••• B••• F•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 29, 2012
Last observed: Nov 30, 2016 119 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.

All 18 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
K•••• I•••• F•••• F•••	Other Private Fund	$22.1M	Jun 28, 2013	85	Jun 29, 2012	dropped	021-149300
K• O••••••••• F••• S•• • K•••• F•••• T••• F••• V•	Hedge Fund	$11.9M	Nov 30, 2016	10	Jun 29, 2016	reported	021-252337
K•••• I••••••••• F••••	Other Private Fund	$8.3M	Dec 6, 2012	1	Jun 29, 2012	dropped	n/a
K• • O••••••••• F••• S•• • K•••• I•••• L•••••••• B••• F•••	Other Private Fund	$8.3M	Jun 29, 2015	12	Jun 29, 2015	dropped	n/a
K•••• F•••• M••••••• P••• V•	Other Private Fund	$8.0M	Jul 3, 2014	25	Jun 29, 2012	dropped	021-157185
K•••• S•••••• F••• L••••••	Other Private Fund	$7.8M	Dec 6, 2012	24	Jun 29, 2012	dropped	n/a
I••••• M•••• C•• F••• ••••••••• L••••••	Other Private Fund	$5.4M	Dec 6, 2012	26	Jun 29, 2012	dropped	n/a
K• O••••••••• F••• S•• • K•••• F•••• T••• F••• I••	Hedge Fund	$4.4M	Nov 30, 2016	3	Jun 29, 2016	reported	021-247358