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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Former SEC-registered adviser
K•••••• C•••••• M••••••••• I•••
Latest filing Oct 29, 2025
First filing on the tape Mar 28, 2012 · 24 filings
SEC status approved since Sep 15, 1982
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$26.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$218M as of Oct 29, 2025
Mar 28, 2012$417M then
HNW client RAUM$26.9M as of Oct 29, 2025
Mar 28, 2018$35.3M then
State-registered IARs (5.B.3)2 as of Oct 29, 2025
Mar 28, 20120 then
Employees (5.A)9 as of Oct 29, 2025
Mar 21, 201311 then
Private funds1 as of Oct 29, 2025
Mar 27, 20141 then
RAUM +12% over the last fiscal year+2.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Oct 29, 2025; every figure names its basis
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $7.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$92.3M42%
- Pooled investment vehicles$80.4M37%
- High-net-worth individuals$26.9M12%
- Charitable organizations$11.5M5.3%
- Corporations and businesses$7.1M3.3%
- Individual clients
- 0reported
- HNW clients
- 18reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- M•••••• S•••• G•••• to R•••••• C••••••Feb 26, 2026 · Other
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•••••• S••••••••• L•••••• P••••••••• | Other Private Fund | $69.8M | 58 | Mar 27, 2014 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• J••• H•••••• L••• · President, Portfolio Managercontrolsince 10/1981 · owns 75% or more
- B••••••• D••••• L••••• · Vice President,Treasurer & Chief Compliance Officersince 03/2007 · owns less than 5%
- G••••• M••••••• S•••• · Vice President, Portfolio Managersince 01/2008 · owns less than 5%
- G•••••• V•••• D••••• · Vice President, Head Tradersince 06/2007 · owns less than 5%
- L•••••• B•••••••• · Trader/Assistant Vice Presidentsince 08/2008 · owns less than 5%
Related persons
Schedule D 7.A
- H••••• L••• K••••••• J••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Galveston, Tx · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Feb 20, 2024 to Mar 4, 2025
- Discretionary RAUM · $196M to $218MFeb 20, 2024 to Mar 4, 2025
- HNW RAUM · $25.6M to $26.9MFeb 20, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $69.8M to $80.4MFeb 20, 2024 to Mar 4, 2025
- RAUM · $196M to $218MFeb 20, 2024 to Mar 4, 2025
- Advisory activities · 3 to 4Mar 2, 2023 to Feb 20, 2024
- Discretionary RAUM · $180M to $196MMar 2, 2023 to Feb 20, 2024
- HNW RAUM · $26.6M to $25.6MMar 2, 2023 to Feb 20, 2024
- Pooled vehicle RAUM · $63.5M to $69.8MMar 2, 2023 to Feb 20, 2024
- RAUM · $180M to $196MMar 2, 2023 to Feb 20, 2024
- Discretionary RAUM · $202M to $180MFeb 17, 2022 to Mar 2, 2023
- HNW RAUM · $31.9M to $26.6MFeb 17, 2022 to Mar 2, 2023
- Pooled vehicle RAUM · $71.0M to $63.5MFeb 17, 2022 to Mar 2, 2023
- RAUM · $202M to $180MFeb 17, 2022 to Mar 2, 2023
- Pension plan clients · unset to 0.0Mar 26, 2021 to Feb 17, 2022
- Discretionary RAUM · $170M to $202MMar 26, 2021 to Feb 17, 2022
- HNW RAUM · $27.9M to $31.9MMar 26, 2021 to Feb 17, 2022
- Pooled vehicle RAUM · $57.1M to $71.0MMar 26, 2021 to Feb 17, 2022
- RAUM · $170M to $202MMar 26, 2021 to Feb 17, 2022
- Individual clients · unset to 0.0Jun 16, 2020 to Mar 25, 2021
- Discretionary RAUM · $187M to $170MJun 16, 2020 to Mar 25, 2021
- HNW RAUM · $32.6M to $27.9MJun 16, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $58.8M to $57.1MJun 16, 2020 to Mar 25, 2021
- RAUM · $187M to $170MJun 16, 2020 to Mar 25, 2021
- Accounts · 30 to 29Mar 25, 2019 to Feb 13, 2020
- HNW clients · 20 to 18Mar 25, 2019 to Feb 13, 2020
- Discretionary RAUM · $164M to $187MMar 25, 2019 to Feb 13, 2020
- HNW RAUM · $28.6M to $32.6MMar 25, 2019 to Feb 13, 2020
- Pooled vehicle RAUM · $49.3M to $58.8MMar 25, 2019 to Feb 13, 2020
- RAUM · $164M to $187MMar 25, 2019 to Feb 13, 2020
- Charity clients · 6 to 7Mar 28, 2018 to Mar 25, 2019
- HNW clients · 19 to 20Mar 28, 2018 to Mar 25, 2019
- Discretionary RAUM · $194M to $164MMar 28, 2018 to Mar 25, 2019
- HNW RAUM · $35.3M to $28.6MMar 28, 2018 to Mar 25, 2019
- Non-discretionary RAUM · $1.3M to $0Mar 28, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $54.2M to $49.3MMar 28, 2018 to Mar 25, 2019
- RAUM · $195M to $164MMar 28, 2018 to Mar 25, 2019
- Accounts · 11 to 30Sep 7, 2017 to Mar 28, 2018
- Charity clients · unset to 6.0Sep 7, 2017 to Mar 28, 2018
- Corporate clients · unset to 2.0Sep 7, 2017 to Mar 28, 2018
Signals
2 dated events
- K•••••• C•••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $218.3M)Mar 2, 2026 · Left the SEC roster · derived
- M•••••• S•••• G•••• left K•••••• C•••••• M••••••••• I••• for R•••••• C•••••• (registered 2025-12-03)Feb 26, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026