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• A•••••••• L•••

Former SEC-registered adviserAustin, TexasCRD 118271SEC 801-121532IAPD
Latest filing Mar 31, 2022
First filing on the tape May 18, 2021 · 2 filings
RAUM
$20.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$20.3M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$20.3M as of Mar 31, 2022
May 18, 2021$23.2M then
HNW client RAUM$16.8M as of Mar 31, 2022
May 18, 2021$18.2M then
State-registered IARs (5.B.3)2 as of Mar 31, 2022
May 18, 20212 then
Employees (5.A)2 as of Mar 31, 2022
May 18, 20212 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$10.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$253,833derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$16.8M83%
  • Individuals$3.5M17%
Individual clients
17reported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
80reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••••• E•••• W•••• · Limited Partner/Ccocontrol
        since 11/2002 · owns 25% to 50%
      • K•••••••• E•••• W•••• · Presidentcontrol
        since 01/1999 · owns 75% or more of K••••••• G••••• I•••
      • K••••••••• G••• · Limited Partner
        since 11/2002 · owns 25% to 50%
      • K••••••••• K•••••• · Limited Partner
        since 11/2002 · owns 25% to 50%
      Entity owners
      • K••••••• G••••• I••• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list K• A•••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 83 to 80
        May 18, 2021 to Mar 31, 2022
      • Financial planning clients · 1-10 to 11-25
        May 18, 2021 to Mar 31, 2022
      • Discretionary RAUM · $23.2M to $20.3M
        May 18, 2021 to Mar 31, 2022
      • HNW RAUM · $18.2M to $16.8M
        May 18, 2021 to Mar 31, 2022
      • Individual RAUM · $5.0M to $3.5M
        May 18, 2021 to Mar 31, 2022
      • RAUM · $23.2M to $20.3M
        May 18, 2021 to Mar 31, 2022
      Signals
      1 dated events
      • K• A•••••••• L••• filed its initial SEC registration (Form ADV)
        May 18, 2021 · 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