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••••••• L••

Former SEC-registered adviserIncline Village, NevadaCRD 115044SEC 801-69948IAPD
Latest filing Nov 28, 2012
First filing on the tape Nov 29, 2011 · 8 filings
RAUM
$26.2M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$26.2M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$12.3M gross assets
History
8 filings and snapshots on the tape
RAUM$26.2M as of Nov 28, 2012
Nov 29, 2011$33.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Nov 28, 2012
Nov 29, 20110 then
Employees (5.A): 5
Private funds5 as of Nov 28, 2012
Feb 23, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 28, 2012; every figure names its basis
RAUM per advisor
$26.2MderivedRAUM 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
$451,724derivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, publicationsreportedItem 5.G
Custody
$12.0M, 50 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)
  • 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 securities (9.B.1.b)
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
58reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$12.0M for 50 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• J• R••••• M••••••Reno, NvJan 22, 202626 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    5 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    K•••••• V••••••• I•• L••Real Estate Fund$8.8M49Feb 23, 2012
    K•••••• D••• S••••••Private Equity Fund$3.0M5Feb 23, 2012
    K•••••• L•••••••• R•••••••••Real Estate Fund$512,8943May 9, 2012
    K•••••• L•••••••• R••••••••• I•Private Equity Fund$00May 9, 2012
    K•••••• V••••••• I•••Private Equity Fund$00Feb 23, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••• J••• J• R••••• · Managing Membercontrol
      since 09/2001 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • J••• J• R••••• M••••••
      insurancey
    • K•••••• V•••••••• L••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    • Carmel-By-The-Sea, CA
    What changed
    consecutive filings, newest first
    • Advisory employees · unset to 2.0
      Oct 25, 2012 to Nov 28, 2012
    • Employees · unset to 5.0
      Oct 25, 2012 to Nov 28, 2012
    • State-registered IARs · 0 to 2
      Oct 25, 2012 to Nov 28, 2012
    • Related insurance company · false to true
      Oct 25, 2012 to Nov 28, 2012
    • Related insurance company · true to false
      Aug 24, 2012 to Oct 25, 2012
    • Private funds · 3 to 5
      Feb 23, 2012 to May 9, 2012
    • Accounts · 98 to 58
      Nov 29, 2011 to Feb 23, 2012
    • Assets in custody · $27.8M to $12.0M
      Nov 29, 2011 to Feb 23, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 29, 2011 to Feb 23, 2012
    • Financial planning clients · 26-50 to 1-10
      Nov 29, 2011 to Feb 23, 2012
    • Private funds · unset to 3
      Nov 29, 2011 to Feb 23, 2012
    • Discretionary RAUM · $27.8M to $21.0M
      Nov 29, 2011 to Feb 23, 2012
    • RAUM · $33.0M to $26.2M
      Nov 29, 2011 to Feb 23, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Firm profile
    linkedin.com/company/klaraos-llcreportedpublic record, Form ADV, Sep 18, 2026
    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
    $26.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026
    Across the graphs

    K••••••• L•• 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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