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•••••••••

Former SEC-registered adviserBrooklyn, New YorkCRD 107414SEC 801-49363IAPD
Legal name K••••• C•••••• M••••••••• I••
Latest filing Oct 2, 2014
First filing on the tape Apr 23, 2012 · 9 filings
RAUM
$9.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$9.1M as of Jun 25, 2014
Jun 29, 2012$35.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 25, 2014
Jun 29, 20120 then
Employees (5.A)2 as of Jun 25, 2014
Jun 17, 20132 then
Private funds: no history
RAUM -67% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Oct 2, 2014; every figure names its basis
RAUM per advisor
$9.1MderivedRAUM 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
$99,280derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-67%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
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
92reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• A•••••• B•••••• · Director/President/Chief Compliance Officercontrol
        since 05/1995 · owns 75% or more
      • W•• S••• F••• · Partnercontrol
        since 09/2010 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · unset to BROOKLYN
        Jun 26, 2014 to Oct 2, 2014
      • HQ state · unset to NY
        Jun 26, 2014 to Oct 2, 2014
      • Related adviser · false to true
        Jun 26, 2014 to Oct 2, 2014
      • Accounts · 142 to 92
        Nov 20, 2013 to Jun 25, 2014
      • Discretionary RAUM · $27.5M to $9.1M
        Nov 20, 2013 to Jun 25, 2014
      • RAUM · $27.5M to $9.1M
        Nov 20, 2013 to Jun 25, 2014
      • HQ city · MITCHEL FIELD to unset
        Jun 17, 2013 to Nov 20, 2013
      • HQ state · NY to unset
        Jun 17, 2013 to Nov 20, 2013
      • Accounts · 163 to 142
        Jun 29, 2012 to Jun 17, 2013
      • Advisory employees · unset to 2.0
        Jun 29, 2012 to Jun 17, 2013
      • BD registered reps · unset to 2.0
        Jun 29, 2012 to Jun 17, 2013
      • Employees · unset to 2.0
        Jun 29, 2012 to Jun 17, 2013
      • State-registered IARs · 0 to 1
        Jun 29, 2012 to Jun 17, 2013
      • Discretionary RAUM · $35.9M to $27.5M
        Jun 29, 2012 to Jun 17, 2013
      • RAUM · $35.9M to $27.5M
        Jun 29, 2012 to Jun 17, 2013
      • Accounts · 150 to 163
        Apr 23, 2012 to Jun 29, 2012
      • Insurance-licensed employees · 1 to 0
        Apr 23, 2012 to Jun 29, 2012
      • Financial planning clients · 0 to unset
        Apr 23, 2012 to Jun 29, 2012
      • Discretionary RAUM · $42.3M to $35.9M
        Apr 23, 2012 to Jun 29, 2012
      • RAUM · $42.3M to $35.9M
        Apr 23, 2012 to Jun 29, 2012
      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