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
B••• V•••••• A••••••• L••
Latest filing Mar 20, 2015
First filing on the tape Nov 18, 2011 · 7 filings
RAUM
$70.0M
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
7
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$70.0M as of Mar 20, 2015
Mar 14, 2012$76.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 20, 2015
Mar 14, 20120 then
Employees (5.A)7 as of Mar 20, 2015
Feb 19, 20139 then
Private funds: no history
RAUM -7.4% over the last fiscal year-3.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2015; every figure names its basis
- RAUM per advisor
- $35.0MderivedRAUM 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
- $70.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.4%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, performance-basedreportedItem 5.E
- Advisory activities
- 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
- has discretionary authority over which securities are bought or sold (8.C.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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- K••• L•••• R••••• to D•••••• C••••••• L••Dec 8, 2015 · Other
- T•••••• J••• K•••••• to K•••••• W••••• M••••••••• L••Oct 1, 2015 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• R•••••• K••• · Chief Executive Officer And Presidentcontrolsince 03/2015 · owns less than 5%
- S••••••••• F•••••••• M••••• · Chief Operating Officer And Chief Compliance Officercontrolsince 03/2010 · owns less than 5%
- K•••••• W••••••• M••••• · Managing Membercontrolsince 08/2007 · owns F of A• C••••••• L••
- S•••••••• N•••••••• S•••• · Managing Membercontrolsince 08/2007 · owns 50% to 75% of A• C••••••• L••
Entity owners
- B••• A••••••• L•• · Memberdirect · owns 75% or more
- A• C••••••• L•• · Managing Memberindirect · owns 75% or more of American Realty Capital II Advisors, LLC
Related persons
Schedule D 7.A
- A• C••••••• L••pooled vehicle sponsory
- Franklin Bsp Lending A••••••, L.L.C.investment adviseryRAUM $3.0B
- M••••••••• W••••• M•••••••••investment advisernRAUM $213M
- N••••••• F••• A•••••••• L••investment advisernRAUM $71.7M
Offices
Schedule D 1.F, the 25 largest
- Greenwood Village, CO
What changed
consecutive filings, newest first
- Business name · K•••••• I••••••••• L•• to B••• V•••••• A••••••• L••Jul 1, 2014 to Mar 20, 2015
- Employees · 8 to 7Jul 1, 2014 to Mar 20, 2015
- HQ city · GREENWOOD VILLAGE to NEW YORKJul 1, 2014 to Mar 20, 2015
- HQ state · CO to NYJul 1, 2014 to Mar 20, 2015
- Legal name · K•••••• I••••••••• L•• to B••• V•••••• A••••••• L••Jul 1, 2014 to Mar 20, 2015
- Discretionary RAUM · $73.2M to $70.0MJul 1, 2014 to Mar 20, 2015
- RAUM · $73.2M to $70.0MJul 1, 2014 to Mar 20, 2015
- Financial planning clients · 0 to unsetFeb 26, 2014 to Jul 1, 2014
- Discretionary RAUM · $75.6M to $73.2MFeb 26, 2014 to Jul 1, 2014
- RAUM · $75.6M to $73.2MFeb 26, 2014 to Jul 1, 2014
- Related adviser · false to trueFeb 26, 2014 to Jul 1, 2014
- Related broker-dealer · false to trueFeb 26, 2014 to Jul 1, 2014
- Employees · 9 to 8Feb 19, 2013 to Feb 26, 2014
- Discretionary RAUM · $74.0M to $75.6MFeb 19, 2013 to Feb 26, 2014
- RAUM · $74.0M to $75.6MFeb 19, 2013 to Feb 26, 2014
- Advisory employees · unset to 2.0Mar 14, 2012 to Feb 19, 2013
- Employees · unset to 9.0Mar 14, 2012 to Feb 19, 2013
- State-registered IARs · 0 to 2Mar 14, 2012 to Feb 19, 2013
- Discretionary RAUM · $76.9M to $74.0MMar 14, 2012 to Feb 19, 2013
- RAUM · $76.9M to $74.0MMar 14, 2012 to Feb 19, 2013
- Discretionary RAUM · $77.1M to $76.9MNov 29, 2011 to Mar 14, 2012
- RAUM · $77.1M to $76.9MNov 29, 2011 to Mar 14, 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 A••••••deriveda 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