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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
K••••••• A•••• M••••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.7%
$68.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
83
18 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
$14.7M gross assets
History
18 filings and snapshots on the tape
RAUM$1.5B as of Mar 29, 2019
Mar 30, 2012$2.6B then
HNW client RAUM$68.6M as of Mar 29, 2019
Mar 29, 2018$56.0M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)83 as of Mar 29, 2019
Mar 28, 201381 then
Private funds1 as of Mar 29, 2019
Mar 30, 20121 then
RAUM -13% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $454,464derivedHNW RAUM over HNW clients
- Average account
- $8.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 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
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $14.7M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.1B79%
- Charitable organizations$148M10%
- High-net-worth individuals$68.6M4.7%
- Corporations and businesses$57.3M3.9%
- Pooled investment vehicles$40.2M2.7%
- Pension and profit-sharing plans$580,7070.0%
- Individual clients
- 0reported
- HNW clients
- 151reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 174reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $56.8M managedreported
- Custody of client assets
- $14.7M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••• · President And Elected Managercontrolsince 04/2011 · owns less than 5%
- D••••• L•••••••• P•••••• · Elected Managercontrolsince 02/2000 · owns less than 5%
- D••••• P••••• B•••••• · Managing Director And Elected Managercontrolsince 04/1998 · owns less than 5%
- E••••• T•••••• C••••••• · Elected Managercontrolsince 04/2011 · owns less than 5%
- G•••••••• R••••••• W•••• · Chief Compliance Officer, Senior Vice President And Associate General Counselcontrolsince 01/2017 · owns less than 5%
- K••••••• J••• H••••• · General Counsel, Managing Director, Elected Manager And Assistant Secretarycontrolsince 08/2006 · owns less than 5%
- P•••••••• L••••• · Chief Financial Officer And Elected Managercontrolsince 04/1998 · owns less than 5%
- R•••• H•••• M•••••• · Chief Operating Officer, Managing Director, Elected Manager And Secretarycontrolsince 04/2011 · owns less than 5%
- S••••• M••••• · Chairman, Chief Executive Officer, And Chief Investment Officercontrolsince 04/2011 · owns less than 5%
- B••••••• S••••• · Elected Managercontrolsince 04/2011 · owns F of H•••••• K••••••• L••
- D••••• L•••••••• P•••••• · Elected Managercontrolsince 04/2011 · owns F of H•••••• K••••••• L••
- D••••• P••••• B•••••• · Elected Managercontrolsince 04/2011 · owns F of H•••••• K••••••• L••
- E••••• T•••••• C••••••• · Elected Managercontrolsince 04/2011 · owns F of H•••••• K••••••• L••
- K••••••• J••• H••••• · Elected Managercontrolsince 04/2011 · owns F of H•••••• K••••••• L••
- P•••••••• L••••• · Elected Managercontrolsince 04/2011 · owns F of H•••••• K••••••• L••
- R•••• H•••• M•••••• · Elected Managercontrolsince 04/2011 · owns F of H•••••• K••••••• L••
- S••••• M••••• · Chairman Of The Board Of Managers And Elected Managercontrolsince 04/2011 · owns F of H•••••• K••••••• L••
Entity owners
- H•••••• K••••••• L•• · Ownerdirect · owns 75% or more
- H•••••• C••••• I•• · Ownerindirect · owns 25% to 50% of H•••••• K••••••• L••
- K••••••• C••••• I•• · Ownerindirect · owns 25% to 50% of H•••••• K••••••• L••
Related persons
Schedule D 7.A
- H•••••• K••••••• A•••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $9.6B
- K•• S••••••••• L••broker-dealern
- K••••••• A•••••••• L••investment adviserpooled vehicle sponsornRAUM $76.7M
- K••••••• F•••• D••••••••• L••broker-dealern
- M•••• L••investment adviserpooled vehicle sponsorn
Advisers that list K••••••• A•••• M••••••••• L•• as a related person
- 139011 n
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC2 employees
- Summit, NJ1 employees
- White Plains, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 124 to 174Mar 29, 2018 to Mar 29, 2019
- BD registered reps · 24 to 25Mar 29, 2018 to Mar 29, 2019
- Charity clients · unset to 1.0Mar 29, 2018 to Mar 29, 2019
- Corporate clients · 10 to 9Mar 29, 2018 to Mar 29, 2019
- HNW clients · 103 to 151Mar 29, 2018 to Mar 29, 2019
- Individual clients · unset to 0.0Mar 29, 2018 to Mar 29, 2019
- Pension plan clients · unset to 2.0Mar 29, 2018 to Mar 29, 2019
- Assets in custody · $16.1M to $14.7MMar 29, 2018 to Mar 29, 2019
- Employees · 79 to 83Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $1.7B to $1.5BMar 29, 2018 to Mar 29, 2019
- HNW RAUM · $56.0M to $68.6MMar 29, 2018 to Mar 29, 2019
- Individual RAUM · unset to 0.0Mar 29, 2018 to Mar 29, 2019
- Pension RAUM · unset to 580707.0Mar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $72.0M to $40.2MMar 29, 2018 to Mar 29, 2019
- RAUM · $1.7B to $1.5BMar 29, 2018 to Mar 29, 2019
- Wrap assets (manager) · $50.8M to $56.8MMar 29, 2018 to Mar 29, 2019
- Accounts · 96 to 124Mar 29, 2017 to Mar 29, 2018
- BD registered reps · 25 to 24Mar 29, 2017 to Mar 29, 2018
- Corporate clients · unset to 10.0Mar 29, 2017 to Mar 29, 2018
- HNW clients · unset to 103.0Mar 29, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 2.0Mar 29, 2017 to Mar 29, 2018
- Assets in custody · $12.4M to $16.1MMar 29, 2017 to Mar 29, 2018
- Employees · 80 to 79Mar 29, 2017 to Mar 29, 2018
- Other offices · unset to 3.0Mar 29, 2017 to Mar 29, 2018
- Discretionary RAUM · $1.8B to $1.7BMar 29, 2017 to Mar 29, 2018
- HNW RAUM · unset to 56006347.0Mar 29, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 72026747.0Mar 29, 2017 to Mar 29, 2018
- RAUM · $1.8B to $1.7BMar 29, 2017 to Mar 29, 2018
- Wrap assets (manager) · unset to 50828837.0Mar 29, 2017 to Mar 29, 2018
- Wrap assets (sponsor) · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Accounts · 109 to 96Jan 25, 2017 to Mar 29, 2017
- BD registered reps · 23 to 25Jan 25, 2017 to Mar 29, 2017
- Assets in custody · $11.3M to $12.4MJan 25, 2017 to Mar 29, 2017
- Employees · 82 to 80Jan 25, 2017 to Mar 29, 2017
- Discretionary RAUM · $2.4B to $1.8BJan 25, 2017 to Mar 29, 2017
- RAUM · $2.4B to $1.8BJan 25, 2017 to Mar 29, 2017
- Assets in custody · unset to 11317724.0Mar 30, 2016 to Oct 19, 2016
- Custody of client assets · false to trueMar 30, 2016 to Oct 19, 2016
- Accounts · 126 to 109Nov 4, 2015 to Mar 30, 2016
- Advisory employees · 21 to 18Nov 4, 2015 to Mar 30, 2016
Signals
No event on the tape.
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