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••••• S••••••••• L••
Latest filing Mar 6, 2024
First filing on the tape Dec 22, 2011 · 25 filings
RAUM
$401M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$399M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$401M as of Mar 4, 2024
Mar 30, 2012$165M then
HNW client RAUM$398M as of Mar 4, 2024
Mar 30, 2018$263M then
State-registered IARs (5.B.3)2 as of Mar 4, 2024
Mar 30, 20120 then
Employees (5.A)2 as of Mar 4, 2024
Mar 27, 20131 then
Private funds: no history
RAUM +4.7% over the last fiscal year+7.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2024; every figure names its basis
- RAUM per advisor
- $201MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.0MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $26.3M, 9 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$398M99%
- Charitable organizations$2.6M0.6%
- Individuals$947,3330.2%
- Individual clients
- 4reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 186reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $26.3M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- Z•••••• A••• C•••••• to S•••••• F•••••••• G••••• L•••••Sep 18, 2024 · RIA to RIA
- M•••••• P••• K••••• to S•••••• F•••••••• G••••• L•••••Sep 18, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• M••••••• P••• · Managing Member & Chief Compliance Officercontrolsince 08/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Litchfield, Ct · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- HNW clients · 43 to 44Sep 28, 2023 to Mar 4, 2024
- Individual clients · 3 to 4Sep 28, 2023 to Mar 4, 2024
- Assets in custody · $35.4M to $26.3MSep 28, 2023 to Mar 4, 2024
- Discretionary RAUM · $383M to $401MSep 28, 2023 to Mar 4, 2024
- HNW RAUM · $380M to $398MSep 28, 2023 to Mar 4, 2024
- Individual RAUM · $867,299 to $947,333Sep 28, 2023 to Mar 4, 2024
- RAUM · $383M to $401MSep 28, 2023 to Mar 4, 2024
- Accounts · 158 to 186Sep 30, 2022 to Feb 27, 2023
- HNW clients · 39 to 43Sep 30, 2022 to Feb 27, 2023
- Individual clients · 4 to 3Sep 30, 2022 to Feb 27, 2023
- Assets in custody · $42.6M to $35.4MSep 30, 2022 to Feb 27, 2023
- State-registered IARs · 0 to 2Sep 30, 2022 to Feb 27, 2023
- Other offices · 0 to 1Sep 30, 2022 to Feb 27, 2023
- Discretionary RAUM · $393M to $383MSep 30, 2022 to Feb 27, 2023
- HNW RAUM · $389M to $380MSep 30, 2022 to Feb 27, 2023
- Individual RAUM · $1.2M to $867,299Sep 30, 2022 to Feb 27, 2023
- RAUM · $393M to $383MSep 30, 2022 to Feb 27, 2023
- Accounts · 148 to 158Aug 25, 2021 to Mar 15, 2022
- Charity clients · 4 to 1Aug 25, 2021 to Mar 15, 2022
- HNW clients · 38 to 39Aug 25, 2021 to Mar 15, 2022
- Individual clients · 16 to 4Aug 25, 2021 to Mar 15, 2022
- Assets in custody · $35.9M to $42.6MAug 25, 2021 to Mar 15, 2022
- Discretionary RAUM · $323M to $393MAug 25, 2021 to Mar 15, 2022
- HNW RAUM · $299M to $389MAug 25, 2021 to Mar 15, 2022
- Individual RAUM · $7.0M to $1.2MAug 25, 2021 to Mar 15, 2022
- RAUM · $323M to $393MAug 25, 2021 to Mar 15, 2022
- Accounts · 145 to 148Jul 31, 2020 to Mar 15, 2021
- Advisory employees · 1 to 2Jul 31, 2020 to Mar 15, 2021
- HNW clients · 36 to 38Jul 31, 2020 to Mar 15, 2021
- Assets in custody · $27.9M to $35.9MJul 31, 2020 to Mar 15, 2021
- Employees · 1 to 2Jul 31, 2020 to Mar 15, 2021
- Discretionary RAUM · $343M to $323MJul 31, 2020 to Mar 15, 2021
- HNW RAUM · $318M to $299MJul 31, 2020 to Mar 15, 2021
- Individual RAUM · $7.0M to $7.0MJul 31, 2020 to Mar 15, 2021
- RAUM · $343M to $323MJul 31, 2020 to Mar 15, 2021
- HQ city · NEW YORK to LITCHFIELDJun 4, 2020 to Jul 31, 2020
- HQ state · NY to CTJun 4, 2020 to Jul 31, 2020
- Other offices · 1 to 0Jun 4, 2020 to Jul 31, 2020
- Accounts · 143 to 145Jun 26, 2019 to Mar 5, 2020
- Charity clients · 3 to 4Jun 26, 2019 to Mar 5, 2020
Signals
2 dated events
- Z•••••• A••• C•••••• left K••••• S••••••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2024-07-19)Sep 18, 2024 · Advisor changed firm · fact
- M•••••• P••• K••••• left K••••• S••••••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2024-07-19)Sep 18, 2024 · 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