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••••• I••••••••• A•••••••• L••

Former SEC-registered adviserMedford, OregonCRD 117098SEC 801-77874IAPD
Latest filing Oct 12, 2020
First filing on the tape Mar 23, 2012 · 20 filings
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$176M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$183M as of Mar 5, 2020
Mar 23, 2012$74.0M then
HNW client RAUM$125M as of Mar 5, 2020
Mar 29, 2018$90.2M then
State-registered IARs (5.B.3)3 as of Mar 5, 2020
Mar 23, 20120 then
Employees (5.A)3 as of Mar 5, 2020
Mar 14, 20142 then
Private funds: no history
RAUM +20% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Oct 12, 2020; every figure names its basis
RAUM per advisor
$61.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
98derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$318,273derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 5.G
Custody
$51.0M, 119 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)
  • 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$125M68%
  • Individuals$51.0M28%
  • Pension and profit-sharing plans$6.2M3.4%
  • Corporations and businesses$455,7520.2%
  • Charitable organizations$64,4120.0%
Individual clients
203reported
HNW clients
91reported
Pension plan clients
20reported
Charitable clients
n/areported
Accounts
575reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$51.0M for 119 clientsreported
Compensation
% of AUMreported
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
    • K•••••• G••••••• A••• · Ownercontrol
      since 03/1990 · owns 75% or more
    • M••••••••• J••••••• L• · Managing Member
      since 02/2018 · owns less than 5%
    • M•••••• L••••• A••• · Chief Compliance Officer
      since 11/2007 · owns less than 5%
    • K•••••• A•••••• · Silent Owner (5%)
      since 06/2007 · owns F of K••••• I••••••••• A•••••••• L••
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list K••••• I••••••••• A•••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · true to false
      May 27, 2020 to Oct 12, 2020
    • Accounts · 600 to 575
      Feb 18, 2019 to Mar 5, 2020
    • HNW clients · 104 to 91
      Feb 18, 2019 to Mar 5, 2020
    • Individual clients · 192 to 203
      Feb 18, 2019 to Mar 5, 2020
    • Pension plan clients · 28 to 20
      Feb 18, 2019 to Mar 5, 2020
    • Assets in custody · $58.8M to $51.0M
      Feb 18, 2019 to Mar 5, 2020
    • Financial planning clients · 0 to 1-10
      Feb 18, 2019 to Mar 5, 2020
    • Discretionary RAUM · $153M to $183M
      Feb 18, 2019 to Mar 5, 2020
    • HNW RAUM · $109M to $125M
      Feb 18, 2019 to Mar 5, 2020
    • Individual RAUM · $34.5M to $51.0M
      Feb 18, 2019 to Mar 5, 2020
    • Pension RAUM · $9.2M to $6.2M
      Feb 18, 2019 to Mar 5, 2020
    • RAUM · $153M to $183M
      Feb 18, 2019 to Mar 5, 2020
    • Accounts · 521 to 600
      Mar 29, 2018 to Feb 18, 2019
    • HNW clients · 76 to 104
      Mar 29, 2018 to Feb 18, 2019
    • Individual clients · 200 to 192
      Mar 29, 2018 to Feb 18, 2019
    • Pension plan clients · 6 to 28
      Mar 29, 2018 to Feb 18, 2019
    • Assets in custody · unset to 58818904.0
      Mar 29, 2018 to Feb 18, 2019
    • Custody of client assets · false to true
      Mar 29, 2018 to Feb 18, 2019
    • Financial planning clients · 1-10 to 0
      Mar 29, 2018 to Feb 18, 2019
    • Discretionary RAUM · $136M to $153M
      Mar 29, 2018 to Feb 18, 2019
    • HNW RAUM · $90.2M to $109M
      Mar 29, 2018 to Feb 18, 2019
    • Individual RAUM · $39.8M to $34.5M
      Mar 29, 2018 to Feb 18, 2019
    • Pension RAUM · $5.9M to $9.2M
      Mar 29, 2018 to Feb 18, 2019
    • RAUM · $136M to $153M
      Mar 29, 2018 to Feb 18, 2019
    • Accounts · 515 to 521
      Mar 16, 2017 to Mar 29, 2018
    • HNW clients · unset to 76.0
      Mar 16, 2017 to Mar 29, 2018
    • Individual clients · unset to 200.0
      Mar 16, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 6.0
      Mar 16, 2017 to Mar 29, 2018
    • Assets in custody · 0.0 to unset
      Mar 16, 2017 to Mar 29, 2018
    • Financial planning clients · 11-25 to 1-10
      Mar 16, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 16, 2017 to Mar 29, 2018
    • Discretionary RAUM · $124M to $136M
      Mar 16, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 90200000.0
      Mar 16, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 39800000.0
      Mar 16, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $53,748 to $0
      Mar 16, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 5900000.0
      Mar 16, 2017 to Mar 29, 2018
    • RAUM · $124M to $136M
      Mar 16, 2017 to Mar 29, 2018
    • Accounts · 471 to 515
      Apr 14, 2016 to Mar 16, 2017
    • Financial planning clients · 1-10 to 11-25
      Apr 14, 2016 to Mar 16, 2017
    • Discretionary RAUM · $118M to $124M
      Apr 14, 2016 to Mar 16, 2017
    Signals
    1 dated events
    • K••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 28, 2013 · First SEC registration · 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