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K•• R••••• A•••••••• L••

Other adviserSEC-registered· Newport Beach, Californiawebsite

Other adviser, based in Newport Beach, California, reporting $2.7B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$2.7B
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
-6.5%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 119662 · SEC 801-61482 · 27 filingsShow
CRD 119662SEC 801-61482First filing on the tape Mar 30, 2012, latest Mar 27, 2026SEC status approved since Oct 4, 2002IAPD
RAUM
$2.7B
reported, Item 5.F
Discretionary
43%
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
75
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$2.7B as of Mar 27, 2026
Mar 30, 2012$8.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 1, 20130 then
Employees (5.A)75 as of Mar 27, 2026
Apr 1, 2013104 then
Private funds: no history
RAUM -6.5% over the last fiscal year-7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$908MderivedRAUM over accounts (5.F.2.f)
Discretionary
43%derivedof RAUM
Institutional
48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.5%derivedbetween 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, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, pension consulting, otherreportedItem 5.G
Custody
$73.5M, 3 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.4B52%
  • Sovereign wealth funds$1.2B43%
  • Pension and profit-sharing plans$148M5.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$73.5M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.52 institutional_share=0.48 related_bd=true related_bank=false bd_reps=3.0derived
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
      • S••••••••• J••• C••••••• J•• · Chairman And Presidentcontrol
        since 09/2023 · owns less than 5%
      • S••••••••• J••• C••••••• J•• · Limited Partnercontrol
        since 01/2000 · owns 75% or more of S•••••••• R••• E••••• I••••••••• L•
      • S••••••••• J••• C••••••• J•• · Elected Managercontrol
        since 05/2019 · owns F of P•••• I••••••••• L•
      • C•••••••• G••••••• · Regional President, Western U.S. Portfolio Operations
        since 01/2023 · owns less than 5%
      • D•••••• M••• · Chief Executive Officer And Regional President, Eastern Region
        since 01/2022 · owns less than 5%
      • U•••••• R•••••• E•••••• · Chief Compliance Officer
        since 03/2014 · owns less than 5%
      • W••••••••• J••••••• K•••• · Chief Financial Officer, Secretary & Treasurer
        since 09/2023 · owns less than 5%
      • Z••••••• D••••• M•••••• · Executive Vice President, Human Resources
        since 01/2023 · owns less than 5%
      • B•••• R••••••• P•••• · T••••••
        since 11/2020 · owns 75% or more of N•••••••• M•••••• T•••• C•••••• U•••• T•• P•••• B••• 2••• T••••
      Entity owners
      • P•••• I••••••••• L• · Member
        direct · owns 50% to 75%
      • S•••••••• R••• E••••• I••••••••• L• · Member
        direct · owns 50% to 75%
      • N•••••••• M•••••• T•••• C•••••• U•••• T•• P•••• B••• 2••• T•••• · General Partner
        indirect · owns F of P•••• I••••••••• L•
      • R•••••• P• B•••• T•••••• O• T•• N•••••••• M•••••• T•••• C•••••• U•••• T•• P•••• B••• 2••• T•••• · Limited Partner
        indirect · owns 75% or more of P•••• I••••••••• L•
      • S•••••••• I••••••••• L•• · General Partner
        indirect · owns F of S•••••••• R••• E••••• I••••••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list K•• R••••• 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 · 7 to 3
        Mar 28, 2025 to Mar 27, 2026
      • Assets in custody · $2.9B to $73.5M
        Mar 28, 2025 to Mar 27, 2026
      • Employees · 79 to 75
        Mar 28, 2025 to Mar 27, 2026
      • Discretionary RAUM · $1.4B to $1.2B
        Mar 28, 2025 to Mar 27, 2026
      • Non-discretionary RAUM · $1.5B to $1.6B
        Mar 28, 2025 to Mar 27, 2026
      • Pension RAUM · $173M to $148M
        Mar 28, 2025 to Mar 27, 2026
      • Pooled vehicle RAUM · $1.4B to $1.4B
        Mar 28, 2025 to Mar 27, 2026
      • RAUM · $2.9B to $2.7B
        Mar 28, 2025 to Mar 27, 2026
      • Accounts · 8 to 7
        Apr 3, 2024 to Mar 28, 2025
      • Pension plan clients · 2 to 1
        Apr 3, 2024 to Mar 28, 2025
      • Assets in custody · $3.1B to $2.9B
        Apr 3, 2024 to Mar 28, 2025
      • Employees · 80 to 79
        Apr 3, 2024 to Mar 28, 2025
      • Financial planning clients · unset to
        Apr 3, 2024 to Mar 28, 2025
      • Discretionary RAUM · $1.5B to $1.4B
        Apr 3, 2024 to Mar 28, 2025
      • Non-discretionary RAUM · $1.6B to $1.5B
        Apr 3, 2024 to Mar 28, 2025
      • Pension RAUM · $179M to $173M
        Apr 3, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $1.4B to $1.4B
        Apr 3, 2024 to Mar 28, 2025
      • RAUM · $3.1B to $2.9B
        Apr 3, 2024 to Mar 28, 2025
      • Accounts · 7 to 8
        Mar 30, 2023 to Mar 29, 2024
      • BD registered reps · 2 to 3
        Mar 30, 2023 to Mar 29, 2024
      • Assets in custody · $3.4B to $3.1B
        Mar 30, 2023 to Mar 29, 2024
      • Employees · 81 to 80
        Mar 30, 2023 to Mar 29, 2024
      • Discretionary RAUM · $1.7B to $1.5B
        Mar 30, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · $1.7B to $1.6B
        Mar 30, 2023 to Mar 29, 2024
      • Pension RAUM · $180M to $179M
        Mar 30, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $1.6B to $1.4B
        Mar 30, 2023 to Mar 29, 2024
      • RAUM · $3.4B to $3.1B
        Mar 30, 2023 to Mar 29, 2024
      • Accounts · 6 to 7
        Mar 31, 2022 to Mar 30, 2023
      • BD registered reps · 3 to 2
        Mar 31, 2022 to Mar 30, 2023
      • Pension plan clients · 1 to 2
        Mar 31, 2022 to Mar 30, 2023
      • Assets in custody · $3.5B to $3.4B
        Mar 31, 2022 to Mar 30, 2023
      • Employees · 113 to 81
        Mar 31, 2022 to Mar 30, 2023
      • Discretionary RAUM · $1.8B to $1.7B
        Mar 31, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $1.7B to $1.7B
        Mar 31, 2022 to Mar 30, 2023
      • Pension RAUM · $194,682 to $180M
        Mar 31, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $1.7B to $1.6B
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $3.5B to $3.4B
        Mar 31, 2022 to Mar 30, 2023
      • Accounts · 8 to 6
        May 11, 2021 to Mar 31, 2022
      • Assets in custody · $3.6B to $3.5B
        May 11, 2021 to Mar 31, 2022
      • Employees · 103 to 113
        May 11, 2021 to Mar 31, 2022
      Signals
      5 dated events
      • ••• Locked
        Mar 31, 2022 · Control person left · inference
      • ••• Locked
        Mar 31, 2022 · Control person joined · fact
      • ••• Locked
        Mar 31, 2022 · Control person joined · fact
      • ••• Locked
        Mar 31, 2021 · Control person joined · fact
      • ••• Locked
        Jun 19, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 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
      Other 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