DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

K••• A•••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviser1 private funds

Former SEC-registered adviser, reporting $162M of regulatory assets.

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

Last reported RAUM
$162M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+11%
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
What we can say about this record

We hold 9 Form ADV filings for this adviser, the latest 12.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 124300 · SEC 801-77492 · 9 filingsShow
CRD 124300SEC 801-77492First filing on the tape Feb 14, 2012, latest Mar 24, 2014IAPD
RAUM
$162M
reported, Item 5.F
Discretionary
100%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$51.2M gross assets
History
9 filings and snapshots on the tape
RAUM$162M as of Mar 24, 2014
Mar 26, 2013$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 24, 2014
Mar 26, 20131 then
Employees (5.A)1 as of Mar 24, 2014
Mar 26, 20131 then
Private funds1 as of Mar 24, 2014
Mar 26, 20131 then
RAUM +11% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2014; every figure names its basis
RAUM per advisor
$162MderivedRAUM 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
$2.8MderivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • a related person has custody of client cash (9.B.1.a)
  • 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
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••• A••••• P•••••••• L•••Hedge Fund$51.2M28Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••• S••••• L••• · President/Chief Compliance Officercontrol
        since 02/1997 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 62 to 58
        Jun 10, 2013 to Mar 24, 2014
      • Assets in custody · 146084000.0 to unset
        Jun 10, 2013 to Mar 24, 2014
      • Custody of client assets · true to false
        Jun 10, 2013 to Mar 24, 2014
      • Discretionary RAUM · $146M to $162M
        Jun 10, 2013 to Mar 24, 2014
      • Non-discretionary RAUM · $210,000 to $211,000
        Jun 10, 2013 to Mar 24, 2014
      • RAUM · $146M to $162M
        Jun 10, 2013 to Mar 24, 2014
      • Related bank · false to true
        Jun 10, 2013 to Mar 24, 2014
      • Accounts · 65 to 62
        Dec 17, 2012 to Mar 26, 2013
      • Advisory activities · 4 to 5
        Dec 17, 2012 to Mar 26, 2013
      • Assets in custody · $51.1M to $146M
        Dec 17, 2012 to Mar 26, 2013
      • Discretionary RAUM · $139M to $146M
        Dec 17, 2012 to Mar 26, 2013
      • Non-discretionary RAUM · $192,228 to $210,000
        Dec 17, 2012 to Mar 26, 2013
      • RAUM · $139M to $146M
        Dec 17, 2012 to Mar 26, 2013
      • Advisory employees · unset to 1.0
        Mar 7, 2012 to Dec 17, 2012
      • Employees · unset to 1.0
        Mar 7, 2012 to Dec 17, 2012
      • State-registered IARs · 0 to 1
        Mar 7, 2012 to Dec 17, 2012
      • Assets in custody · $511M to $51.1M
        Feb 16, 2012 to Mar 2, 2012
      Signals
      1 dated events
      • ••• Locked
        Dec 17, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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