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••••••••• R••••• A••••••• I••
Latest filing Apr 4, 2017
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$623M gross assets
History
9 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 29, 20120 then
Employees (5.A)11 as of Mar 29, 2017
Mar 27, 201311 then
Private funds6 as of Mar 29, 2017
Mar 29, 20124 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 4, 2017; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $10.0M, 6 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.0M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourly, 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••• L•••• P••••••• G•••• T•••• | Real Estate Fund | $367M | 4 | Mar 29, 2012 |
| W••••• P••• P•••• L•• | Real Estate Fund | $94.3M | 1 | Mar 29, 2012 |
| W•••••••• S••••• H•••••• C•••••• L•• | Real Estate Fund | $92.1M | 5 | Mar 25, 2016 |
| C••••••• A•••••••• C••••••• L•• | Real Estate Fund | $37.5M | 5 | Mar 28, 2014 |
| O•••••• P••• S••••• H•••••• C••••••• L•• | Real Estate Fund | $19.3M | 5 | Mar 31, 2015 |
| K•• H••••••• I•• | Real Estate Fund | $13.0M | 1 | Mar 29, 2012 |
| K•• H••••••• I••no longer reported | Real Estate Fund | $5.4M | 1 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••• J••••• S•••••• · Executive Vice Presidentcontrolsince 07/1991 · owns 25% to 50%
- S••••• J••••• S••••• · President/Chief Compliance Officercontrolsince 04/1991 · owns 50% to 75%
- S••••• K•••••• J••• · S••••• Vice Presidentsince 04/1992 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $9.8M to $10.0MSep 8, 2016 to Mar 29, 2017
- Assets in custody · $7.4M to $9.8MMar 31, 2015 to Mar 25, 2016
- Private funds · 5 to 6Mar 31, 2015 to Mar 25, 2016
- Assets in custody · $21.7M to $7.4MNov 13, 2014 to Mar 31, 2015
- Assets in custody · $9.2M to $21.7MMar 27, 2013 to Mar 28, 2014
- Private funds · 4 to 5Mar 27, 2013 to Mar 28, 2014
- Advisory employees · unset to 7.0Mar 29, 2012 to Mar 27, 2013
- Employees · unset to 11.0Mar 29, 2012 to Mar 27, 2013
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
Across the graphs
K••••••••• R••••• A••••••• I•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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