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

R••••••• W••••• A•••••••

Former SEC-registered adviserHouston, TexasCRD 114305SEC 801-61611IAPD
Legal name K••••• C•••••• M••••••••• L••
Latest filing Jan 10, 2020
First filing on the tape Feb 27, 2012 · 24 filings
RAUM
$204M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$203M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$204M as of Mar 7, 2019
Feb 27, 2012$90.5M then
HNW client RAUM$171M as of Mar 7, 2019
Mar 20, 2018$156M then
State-registered IARs (5.B.3)4 as of Mar 7, 2019
Feb 27, 20120 then
Employees (5.A)5 as of Mar 7, 2019
Jan 28, 20133 then
Private funds: no history
RAUM +3.3% over the last fiscal year+18% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jan 10, 2020; every figure names its basis
RAUM per advisor
$51.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$192,693derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+3.3%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.5%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$27.2M, 59 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$171M84%
  • Individuals$32.4M16%
  • Pension and profit-sharing plans$659,7170.3%
  • Corporations and businesses$42,0010.0%
Individual clients
108reported
HNW clients
82reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,059reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$27.2M for 59 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• F••••••••• M•••••• · Membercontrol
      since 09/2015 · owns less than 5%
    • L•••••••• K••••••• J••••• · Membercontrol
      since 02/2001 · owns less than 5%
    • L•••• D••••• H•••• · Member, Chief Compliance Officercontrol
      since 10/2008 · owns less than 5%
    Entity owners
    • M••••• G••••• A••••••• I••• · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Austin, TX1 employees
    • Bartlesville, OK1 employees
    What changed
    consecutive filings, newest first
    • HQ city · AUSTIN to HOUSTON
      Apr 11, 2019 to Jun 24, 2019
    • Accounts · 981 to 1,059
      Jul 6, 2018 to Mar 7, 2019
    • Advisory employees · 5 to 4
      Jul 6, 2018 to Mar 7, 2019
    • HNW clients · 69 to 82
      Jul 6, 2018 to Mar 7, 2019
    • Individual clients · 122 to 108
      Jul 6, 2018 to Mar 7, 2019
    • Assets in custody · $17.9M to $27.2M
      Jul 6, 2018 to Mar 7, 2019
    • Employees · 6 to 5
      Jul 6, 2018 to Mar 7, 2019
    • State-registered IARs · 5 to 4
      Jul 6, 2018 to Mar 7, 2019
    • Discretionary RAUM · $177M to $180M
      Jul 6, 2018 to Mar 7, 2019
    • HNW RAUM · $156M to $171M
      Jul 6, 2018 to Mar 7, 2019
    • Individual RAUM · $39.6M to $32.4M
      Jul 6, 2018 to Mar 7, 2019
    • Non-discretionary RAUM · $20.6M to $24.1M
      Jul 6, 2018 to Mar 7, 2019
    • Pension RAUM · $1.6M to $659,717
      Jul 6, 2018 to Mar 7, 2019
    • RAUM · $198M to $204M
      Jul 6, 2018 to Mar 7, 2019
    • Assets in custody · $7.9M to $17.9M
      May 15, 2018 to Jul 6, 2018
    • Accounts · 801 to 981
      Aug 16, 2017 to Mar 20, 2018
    • Advisory employees · 4 to 5
      Aug 16, 2017 to Mar 20, 2018
    • Advisory activities · 5 to 6
      Aug 16, 2017 to Mar 20, 2018
    • HNW clients · unset to 69.0
      Aug 16, 2017 to Mar 20, 2018
    • Individual clients · unset to 122.0
      Aug 16, 2017 to Mar 20, 2018
    • Assets in custody · unset to 7903514.0
      Aug 16, 2017 to Mar 20, 2018
    • Custody of client assets · false to true
      Aug 16, 2017 to Mar 20, 2018
    • Employees · 5 to 6
      Aug 16, 2017 to Mar 20, 2018
    • Financial planning clients · unset to 0
      Aug 16, 2017 to Mar 20, 2018
    • State-registered IARs · 4 to 5
      Aug 16, 2017 to Mar 20, 2018
    • Other offices · unset to 2.0
      Aug 16, 2017 to Mar 20, 2018
    • Discretionary RAUM · $130M to $177M
      Aug 16, 2017 to Mar 20, 2018
    • HNW RAUM · unset to 156327980.0
      Aug 16, 2017 to Mar 20, 2018
    • Individual RAUM · unset to 39617715.0
      Aug 16, 2017 to Mar 20, 2018
    • Non-discretionary RAUM · $13.8M to $20.6M
      Aug 16, 2017 to Mar 20, 2018
    • Pension RAUM · unset to 1612965.0
      Aug 16, 2017 to Mar 20, 2018
    • RAUM · $144M to $198M
      Aug 16, 2017 to Mar 20, 2018
    • BD registered reps · 2 to 0
      Jun 12, 2017 to Aug 16, 2017
    • Accounts · 845 to 801
      Dec 8, 2016 to Feb 14, 2017
    • Advisory activities · 4 to 5
      Dec 8, 2016 to Feb 14, 2017
    • Employees · 6 to 5
      Dec 8, 2016 to Feb 14, 2017
    • Discretionary RAUM · $116M to $130M
      Dec 8, 2016 to Feb 14, 2017
    • Non-discretionary RAUM · $9.3M to $13.8M
      Dec 8, 2016 to Feb 14, 2017
    • RAUM · $125M to $144M
      Dec 8, 2016 to Feb 14, 2017
    • Accounts · 787 to 845
      Oct 13, 2015 to Mar 22, 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