DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
K•••• A••••••• R•••••• I••••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since May 22, 1985
RAUM
$39B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
20%
$7.9B individuals and HNW
Advisors
36
registered through the firm on IAPD
RAUM per advisor
$1.1B
derived; firm RAUM over IAPD count
Employees
134
47 advisory (5.B.1)
Offices
22
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$39B as of Mar 27, 2026
Mar 29, 2012$6.6B then
HNW client RAUM$7.7B as of Mar 27, 2026
Mar 27, 2018$3.6B then
State-registered IARs (5.B.3)31 as of Mar 27, 2026
Mar 21, 20138 then
Employees (5.A)134 as of Mar 27, 2026
Mar 21, 201370 then
Private funds: no history
RAUM -13% over the last fiscal year+5.5% a year over threeIARs 26 to 31offices 17 to 22
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $1.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 1.6derived23 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +19%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$14B45%
- High-net-worth individuals$7.7B26%
- Pension and profit-sharing plans$2.4B7.9%
- Pooled investment vehicles$1.8B5.9%
- State and municipal entities$1.3B4.4%
- Corporations and businesses$1.3B4.2%
- Charitable organizations$819M2.7%
- Insurance companies$496M1.6%
- Sovereign wealth funds$485M1.6%
- Individuals$259M0.9%
- Individual clients
- 586reported
- HNW clients
- 1,409reported
- Pension plan clients
- 60reported
- Charitable clients
- 40reported
- Accounts
- 24,735reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- $0 sponsored, $9.3B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.2 fund_share=0.39 institutional_share=0.14 related_bd=true related_bank=true bd_reps=22.0derived
Advisors registered through the firm
36 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• M••••••• B•••• | Los Angeles, Ca | Sep 12, 2003 | 30 y | 0 |
| C•••• P•••••• P••••• | Los Angeles, Ca | May 5, 2004 | 22 y | 0 |
| R•••••• L•• A•••• | Newport Beach, Ca | Sep 10, 2014 | 27 y | 1 |
| D••••• L•••• G••• | Los Angeles, Ca | Feb 6, 2015 | 19 y | 3 |
| B•••••• E••• C••••••• | Los Angeles, Ca | Oct 29, 2015 | 15 y | 4 |
| S••••• R• W••••••Chartered Financial Analyst | Los Angeles, Ca | May 18, 2016 | 23 y | 3 |
| K•••• P•••••• O••••••Certified Financial Planner | Walpole, Ma | May 2, 2019 | 19 y | 2 |
| G•••• L•• A•••Certified Financial Planner | San Mateo, Ca | Nov 5, 2019 | 21 y | 1 |
| D••••• J•••• B•••• | Los Angeles, Ca | Nov 10, 2020 | 21 y | 1 |
| T•••• J•••••• S••••Certified Financial Planner | Los Angeles, Ca | May 31, 2022 | 10 y | 2 |
| Y•••• C••••Certified Financial Planner, Chartered Financial Analyst | Los Angeles, Ca | Jun 30, 2022 | 12 y | 3 |
| M•••••• W••••• M•••••••••Chartered Financial Analyst | Los Angeles, Ca | Oct 20, 2022 | 13 y | 0 |
| O••• C••••Chartered Financial Analyst | Los Angeles, Ca | Dec 1, 2022 | 14 y | 2 |
| A••••• P•••••• G•••• | Los Angeles, Ca | Apr 20, 2023 | 12 y | 4 |
| B•••••••• A• F••••••Chartered Financial Analyst | Los Angeles, Ca | Oct 13, 2023 | 28 y | 0 |
| M••••••• A•• R•••••••••Certified Financial Planner | Los Angeles, Ca | Mar 7, 2024 | 23 y | 3 |
| R•••••• C••••••••• T••• | Menlo Park, Ca | Apr 17, 2024 | 16 y | 2 |
| D••••• G•••••Certified Financial Planner | Holladay, Ut | Jun 21, 2024 | 10 y | 2 |
| K••••••• C••••••• F••••••••• | Los Angeles, Ca | Jan 1, 2025 | 28 y | 0 |
| C••••• A•••••••• B•••••Certified Financial Planner | Los Angeles, Ca | Jan 1, 2025 | 12 y | 2 |
| T••••• P••••••Certified Financial Planner | Los Angeles, Ca | Jan 1, 2025 | 10 y | 0 |
| S•••••• A•••••• R••••• | Los Angeles, Ca | Jan 1, 2025 | 42 y | 0 |
| T••••• E••••• C•••••••• | Menlo Park, Ca | Jan 1, 2025 | 22 y | 1 |
| S•••••••• L••Chartered Financial Analyst | Los Angeles, Ca | Feb 18, 2025 | 10 y | 0 |
| M••••••• D••••• D••Certified Financial Planner | Newport Beach, Ca | Mar 13, 2025 | 21 y | 2 |
| J••••••• I•••••••Certified Financial Planner | Los Angeles, Ca | Aug 14, 2025 | 30 y | 3 |
| W•••••• M•••••• R•••••• | Boca Raton, Fl | Aug 15, 2025 | 13 y | 1 |
| B••••••• C••• H•••••Certified Financial Planner | Los Angeles, Ca | Aug 22, 2025 | 19 y | 6 |
| C••••••••• J••• B•••• | Los Angeles, Ca | Aug 26, 2025 | 16 y | 5 |
| J••••• L••• K••••••Certified Financial Planner, Chartered Financial Consultant | Los Angeles, Ca | Nov 17, 2025 | 12 y | 4 |
| C•••• R••• C••••••••• | Los Angeles, Ca | Dec 16, 2025 | 12 y | 7 |
| T•• J••• L•••••••• | Los Angeles, Ca | Jan 26, 2026 | 11 y | 2 |
| C•••• M••••••Certified Financial Planner | Los Angeles, Ca | Apr 2, 2026 | 10 y | 4 |
| B•••• S••••• E•••• | Chicago, Il | Apr 9, 2026 | 24 y | 1 |
| A••••• M•••• S••••Certified Financial Planner | Los Angeles, Ca | Jun 3, 2026 | 10 y | 3 |
| A•••••••• M•••••• M•••••••• | Los Angeles, Ca | Aug 20, 2026 | 13 y | 0 |
Advisor movement
0 left, 6 joined in 12 months
net +6 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- J•••• H••••• to E• W••••• A•••••••Jan 13, 2025 · Other
- R•••••• H•••••• to J••• M••••• S••••••••• L••Jul 2, 2024 · Other
- Y••••••• A•••• K•• to H•••••••• A•••••••• L••Sep 16, 2022 · Other
- C•••••••• L• R•••••• to C••••••• A•••••••• I•••Jun 16, 2021 · Other
- A•••• M•••••• D••• to M••••••Apr 14, 2021 · Other
- M•••••• H••••• to A••••••••• L••Jul 20, 2020 · Other
- L•••• W•••• K•••• to M••••• G•••• I••••••••• A•••••••• L••Sep 18, 2019 · Other
- E•••• M••••• M•••••• to P•••••• F•••••••• P•••••••Jun 3, 2014 · Other
Joined, latest
- A••••• M•••• S•••• from M••••••Jun 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• S••••• E•••• from S••••••• A•••• M••••••••• L••Apr 9, 2026 · Other
- C•••• M•••••• from K••••• A••••••• S•••••••• L••Apr 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- T•• J••• L•••••••• from C•••••• S••••• • C••• I•••Jan 26, 2026 · Other
- C•••• R••• C••••••••• from G••• I••••••••• M••••••••• L••Dec 16, 2025 · Other
- J••••• L••• K•••••• from M••••••Nov 17, 2025 · Other
- C••••••••• J••• B•••• from R•• W••••• P•••••••Aug 26, 2025 · Other
- B••••••• C••• H••••• from F•••• P••••••• W•••••• L••Aug 22, 2025 · Other
- W•••••• M•••••• R•••••• from C••••••••• W•••••Aug 15, 2025 · Other
- J••••••• I••••••• from C•••••• S••••• • C••• I•••Aug 14, 2025 · Other
- M••••••• D••••• D•• from C••••••Mar 13, 2025 · Other
- T••••• E••••• C•••••••• from F••••• I•••••••••Jan 1, 2025 · Other
- C••••• A•••••••• B••••• from C•••••• G•••• P•••••• C••••• S•••••••• I•••Jan 1, 2025 · Other
- D••••• G••••• from F••••• I•••••••••Jun 21, 2024 · Other
- R•••••• C••••••••• T••• from F••••• I•••••••••Apr 17, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• A•••• · Executive Vice President And Chief Financial Officer, V••••• Investment Partnerscontrolsince 01/2009 · owns less than 5%
- A••••••• G•••••• R••••• · President And Chief Executive Officer, V••••• Investment Partners, And Management Committee Membercontrolsince 01/2007 · owns less than 5%
- F••••••• D••••••• S•••••• · Co-Chief Investment Officer, Management Committee Membercontrolsince 01/2013 · owns less than 5%
- L••• F•••• · Chief Administrative Officercontrolsince 03/2022 · owns less than 5%
- P••••••••• A••••• C•••••• · Executive Vice President And Chief Legal Officer, V••••• Investment Partnerscontrolsince 11/2023 · owns less than 5%
- R•••••• S••••••• A•••••• · Executive Managing Director, Management Committee Membercontrolsince 09/2005 · owns less than 5%
- S••••••••• M••••••• R••••• · Vice President, Chief Compliance Officercontrolsince 09/2019 · owns less than 5%
- S••••• C•••• · Chief Investment Officer, Management Committee Membercontrolsince 04/2024 · owns less than 5%
- V•••••• J•••••••• G••••• · Chief Operating Officer, Management Committee Membercontrolsince 09/2005 · owns less than 5%
Entity owners
- V••••• P•••••••• I••• · Direct Ownerdirect · owns 75% or more
- V••••• P•••••••• I••• · Direct Owner Committee Memberdirect · owns 75% or more
- V••••• I••••••••• P•••••••• I•• · Indirect Ownerindirect · owns 75% or more of V••••• P•••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- A••••••••• G••••• L••investment adviserbanknRAUM $3.1B
- C•••••• V•••• A••••••• L••investment advisernRAUM $3.4B
- D••• • P••••• I••••••••• M••••••••• C••investment advisernRAUM $13B
- N•• I••••••••• G••••• L••investment advisernRAUM $3.0B
- S••• C•• M••••••••• G• L••pooled vehicle sponsorn
- S••• C•• M••••••••• L••investment advisernRAUM $336M
- S•••••• C•••••• M••••••••• L••investment advisernRAUM $3.0B
- S••••••••• G••••• A•••••••• L•investment advisernRAUM $17B
- V••••• A••••••••• Investment Advisers, LLCinvestment adviserbanknRAUM $1.1B
- V••••• Advisers, LLCinvestment adviserbanknRAUM $1.4B
- V••••• F•••• I••••• A•••••••• L••investment adviserbanknRAUM $35B
- V••••• Capital Advisers, LLCinvestment adviserbanknRAUM $1.5B
- V••••• G••••• P••••••• P••• L•••investment advisern
- V••••• I••••••••• F••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- V••••• I••••••••• M••••••••• L••investment advisern
- V••••• Investment Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $52B
- V• D••••••••• L••broker-dealern
- W••••••••• C•••••• M••••••••• L••investment adviserbanknRAUM $2.9B
- W••••••••• C•••••• P•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $34.2M
Advisers that list K•••• A••••••• R•••••• I••••••••• M••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 36 | 7 | 0 | ||
| Newport Beach, Ca | 3 | 0 | 0 | ||
| Holladay, Ut | 2 | 0 | 0 | ||
| Menlo Park, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL2 employees
- Houston, TX2 employees
- Maitland, FL2 employees
- Menlo Park, CA2 employees
- New York, NY2 employees
- Newport Beach, CA2 employees
- Providence, RI2 employees
- Seattle, WA2 employees
- Broomfield, CO2 employees
- Dallas, TX2 employees
- Westlake Village, CA1 employees
- Scottsdale, AZ1 employees
- Salt Lake City, UT1 employees
- Boston, MA1 employees
- Novi, MI1 employees
- Walpole, MA1 employees
- Charlotte, NC
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person c••••edChange between filings · filing Mar 27, 2026F••••••• D••••••• S•••••• (CO-CHIEF INVESTMENT OFFICER, MANAGEMENT COMMITTEE MEMBER) left Schedule A between the filings of 2024-03-27 and 2026-03-27peers: independent wealth managers, $20B and over (84)
- control person c••••edChange between filings · filing Mar 27, 2026S••••••••• M••••••• R••••• (VICE PRESIDENT, CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-03-27peers: independent wealth managers, $20B and over (84)
- control person c••••edChange between filings · filing Mar 27, 2026R•••••• S••••••• A•••••• (EXECUTIVE MANAGING DIRECTOR, MANAGEMENT COMMITTEE MEMBER) left Schedule A between the filings of 2024-03-27 and 2026-03-27peers: independent wealth managers, $20B and over (84)
What changed
consecutive filings, newest first
- Accounts · 27,435 to 24,735Mar 26, 2025 to Mar 27, 2026
- Advisory employees · 46 to 47Mar 26, 2025 to Mar 27, 2026
- BD registered reps · 19 to 22Mar 26, 2025 to Mar 27, 2026
- Charity clients · 43 to 40Mar 26, 2025 to Mar 27, 2026
- Corporate clients · 60 to 53Mar 26, 2025 to Mar 27, 2026
- HNW clients · 1,387 to 1,409Mar 26, 2025 to Mar 27, 2026
- Individual clients · 668 to 586Mar 26, 2025 to Mar 27, 2026
- Pension plan clients · 43 to 60Mar 26, 2025 to Mar 27, 2026
- Employees · 119 to 134Mar 26, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to More than 500Mar 26, 2025 to Mar 27, 2026
- State-registered IARs · 26 to 31Mar 26, 2025 to Mar 27, 2026
- Other offices · 17 to 22Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $45B to $39BMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $8.0B to $7.7BMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $353M to $259MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $2.4B to $2.4BMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.7B to $1.8BMar 26, 2025 to Mar 27, 2026
- RAUM · $45B to $39BMar 26, 2025 to Mar 27, 2026
- Wrap assets (manager) · $11B to $9.3BMar 26, 2025 to Mar 27, 2026
- Accounts · 28,081 to 27,435Jan 30, 2025 to Mar 26, 2025
- Advisory employees · 44 to 46Jan 30, 2025 to Mar 26, 2025
- Charity clients · 49 to 43Jan 30, 2025 to Mar 26, 2025
- HNW clients · 1,256 to 1,387Jan 30, 2025 to Mar 26, 2025
- Individual clients · 630 to 668Jan 30, 2025 to Mar 26, 2025
- Pension plan clients · 79 to 43Jan 30, 2025 to Mar 26, 2025
- Pooled vehicle clients · 13 to 17Jan 30, 2025 to Mar 26, 2025
- Employees · 115 to 119Jan 30, 2025 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Jan 30, 2025 to Mar 26, 2025
- State-registered IARs · 23 to 26Jan 30, 2025 to Mar 26, 2025
- Discretionary RAUM · $41B to $45BJan 30, 2025 to Mar 26, 2025
- HNW RAUM · $7.0B to $8.0BJan 30, 2025 to Mar 26, 2025
- Individual RAUM · $354M to $353MJan 30, 2025 to Mar 26, 2025
- Pension RAUM · $2.4B to $2.4BJan 30, 2025 to Mar 26, 2025
- Pooled vehicle RAUM · $1.4B to $1.7BJan 30, 2025 to Mar 26, 2025
- RAUM · $41B to $45BJan 30, 2025 to Mar 26, 2025
- Wrap assets (manager) · $9.7B to $11BJan 30, 2025 to Mar 26, 2025
- Accounts · 26,684 to 28,081Dec 4, 2023 to Mar 27, 2024
- Advisory employees · 35 to 44Dec 4, 2023 to Mar 27, 2024
- BD registered reps · 20 to 19Dec 4, 2023 to Mar 27, 2024
- Charity clients · 36 to 49Dec 4, 2023 to Mar 27, 2024
Signals
13 dated events
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• reported 22 offices beyond its principal office, up from 17 (2025-03-26 to 2026-03-27)Mar 27, 2026 · ria office count c••••e · derived
- J•••• H••••• left K•••• A••••••• R•••••• I••••••••• M••••••••• L•• for E• W••••• A••••••• (registered 2025-02-12)Jan 13, 2025 · advisor firm c••••e · fact
- R•••••• H•••••• left K•••• A••••••• R•••••• I••••••••• M••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2025-01-02)Jul 2, 2024 · advisor firm c••••e · fact
- Craig Stone (Co-Chief Investment Officer, Management Committee Member) appeared on Schedule A of K•••• A••••••• R•••••• I••••••••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- Cynthia Andra Purkalitis (Executive Vice President And Chief Legal Officer, Virtus Investment Partners) appeared on Schedule A of K•••• A••••••• R•••••• I••••••••• M••••••••• L••Dec 4, 2023 · Control person joined · fact
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary, Virtus Investment Partners) no longer on Schedule A of K•••• A••••••• R•••••• I••••••••• M••••••••• L•• (listed 2023-03-29, absent 2023-06-20)Jun 20, 2023 · Control person left · inference
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• reported 16 offices beyond its principal office, up from 10 (2022-03-30 to 2023-03-29)Mar 29, 2023 · ria office count c••••e · derived
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• reported RAUM $33.5B, down 29% from $47.3B (2022-03-30 to 2023-03-29)Mar 29, 2023 · ria raum c••••e · derived
- Y••••••• A•••• K•• left K•••• A••••••• R•••••• I••••••••• M••••••••• L•• for H•••••••• A•••••••• L•• (registered 2024-07-09)Sep 16, 2022 · advisor firm c••••e · fact
- Frank Lee (Chief Administrative Officer) appeared on Schedule A of K•••• A••••••• R•••••• I••••••••• M••••••••• L••Mar 30, 2022 · Control person joined · fact
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• reported RAUM $33.0B, up 45% from $22.8B (2019-09-18 to 2020-03-30)Mar 30, 2020 · ria raum c••••e · derived
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• reported RAUM $23.9B, up 26% from $18.9B (2018-03-27 to 2018-09-12)Sep 12, 2018 · ria raum c••••e · derived
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• reported RAUM $18.9B, up 48% from $12.8B (2017-03-29 to 2018-03-27)Mar 27, 2018 · ria raum c••••e · derived
Across DFX
shared identifiers only, never a name match
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@kayne.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-231-7414reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- K••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-556-2721reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- kayne.com/wealth-management/peoplereportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026