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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
K••••••• A•• A••••••••• L••
Latest filing May 1, 2026
First filing on the tape Mar 19, 2012 · 43 filings
SEC status approved since Apr 17, 2007
RAUM
$5.7B
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
78%
$4.4B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$629M
derived; firm RAUM over IAPD count
Employees
25
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$5.7B as of May 1, 2026
Mar 19, 2012$671M then
HNW client RAUM$4.3B as of May 1, 2026
Mar 3, 2018$1.7B then
State-registered IARs (5.B.3)8 as of May 1, 2026
Mar 19, 20120 then
Employees (5.A)25 as of May 1, 2026
Mar 25, 201314 then
Private funds: no history
RAUM +17% over the last fiscal year+27% a year over threeIARs 8 to 8
Practice profile
derived from the filing of May 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $629MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.5MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Financial planning clients
- 704reportedItem 5.H
- Custody
- $355M, 21 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)
- 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 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
- High-net-worth individuals$4.3B77%
- Pension and profit-sharing plans$1.2B21%
- Individuals$98.9M1.7%
- Charitable organizations$26.0M0.5%
- Individual clients
- 248reported
- HNW clients
- 456reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 3,532reported
- Financial planning clients
- 704reported
- Wrap fee programs
- noreported
- Custody of client assets
- $355M for 21 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• A••••• K•••••••Certified Financial Planner, Chartered Financial Consultant | New York, Ny | May 2, 2007 | 42 y | 0 |
| C•••• L•••Certified Financial Planner | New York, Ny | Mar 10, 2017 | 27 y | 0 |
| M••••••• L••• M•••••••Certified Financial Planner | New York, Ny | Jun 1, 2021 | 14 y | 1 |
| S••• S•••••Chartered Financial Analyst | New York, Ny | Jun 1, 2021 | 13 y | 2 |
| M•••••• D•••• P•••• | New York, Ny | Jun 17, 2021 | 12 y | 0 |
| T••••• J••••• K••••••• | New York, Ny | Jun 17, 2021 | 16 y | 0 |
| J••••• F•••• K••• | New York, Ny | Aug 4, 2021 | 10 y | 0 |
| D•••••• D•••••• | New York, Ny | Mar 10, 2025 | 13 y | 2 |
| D••••• M•••••• D••••••Chartered Financial Analyst | New York, Ny | Jul 7, 2026 | 13 y | 0 |
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
Joined, latest
- D•••••• D•••••• from U•• F•••••••• S••••••• I•••Mar 10, 2025 · Wirehouse to independent RIA
- M••••••• L••• M••••••• from P•••• C•••••• M••••••••• L••Jun 1, 2021 · RIA to RIA
- S••• S••••• from W••••••••• A•••••••Jun 1, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• D•••••• M•••••• · Director Of Investmentscontrolsince 01/2022 · owns 10% to 25%
- K•••••••• G•••••• A••••• · President/Managing Membercontrolsince 03/2001 · owns 50% to 75%
- K•••••••• T•••••• J••••• · Wealth Advisorcontrolsince 01/2022 · owns 10% to 25%
- P••••• M••••••• D•••• · Chief Compliance Officer/Chief Operating Officercontrolsince 11/2014 · owns 10% to 25%
Related persons
Schedule D 7.A
- K••••••• R••• M••••••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 1, 2026D••••••• D•••••• M•••••• (DIRECTOR OF INVESTMENTS) left Schedule A between the filings of 2022-03-18 and 2026-05-01peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 3,132 to 3,532Mar 20, 2025 to Mar 19, 2026
- HNW clients · 407 to 456Mar 20, 2025 to Mar 19, 2026
- Assets in custody · $332M to $355MMar 20, 2025 to Mar 19, 2026
- Financial planning clients · 251-500 to More than 500Mar 20, 2025 to Mar 19, 2026
- Discretionary RAUM · $3.5B to $4.1BMar 20, 2025 to Mar 19, 2026
- HNW RAUM · $3.6B to $4.3BMar 20, 2025 to Mar 19, 2026
- Individual RAUM · $67.1M to $98.9MMar 20, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $1.4B to $1.5BMar 20, 2025 to Mar 19, 2026
- Pension RAUM · $1.1B to $1.2BMar 20, 2025 to Mar 19, 2026
- RAUM · $4.8B to $5.7BMar 20, 2025 to Mar 19, 2026
- Accounts · 2,791 to 3,132Mar 14, 2024 to Mar 20, 2025
- Advisory employees · 12 to 14Mar 14, 2024 to Mar 20, 2025
- Charity clients · 3 to 2Mar 14, 2024 to Mar 20, 2025
- HNW clients · 363 to 407Mar 14, 2024 to Mar 20, 2025
- Pension plan clients · 2 to 3Mar 14, 2024 to Mar 20, 2025
- Assets in custody · $383M to $332MMar 14, 2024 to Mar 20, 2025
- Employees · 22 to 25Mar 14, 2024 to Mar 20, 2025
- Financial planning clients · 251-500 to 251-500Mar 14, 2024 to Mar 20, 2025
- State-registered IARs · 7 to 8Mar 14, 2024 to Mar 20, 2025
- Discretionary RAUM · $3.0B to $3.5BMar 14, 2024 to Mar 20, 2025
- HNW RAUM · $3.1B to $3.6BMar 14, 2024 to Mar 20, 2025
- Individual RAUM · $105M to $67.1MMar 14, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $276M to $1.4BMar 14, 2024 to Mar 20, 2025
- Pension RAUM · $7.8M to $1.1BMar 14, 2024 to Mar 20, 2025
- RAUM · $3.3B to $4.8BMar 14, 2024 to Mar 20, 2025
- Accounts · 2,590 to 2,791Dec 12, 2023 to Mar 14, 2024
- Advisory employees · 13 to 12Dec 12, 2023 to Mar 14, 2024
- Charity clients · 2 to 3Dec 12, 2023 to Mar 14, 2024
- HNW clients · 332 to 363Dec 12, 2023 to Mar 14, 2024
- Pension plan clients · 4 to 2Dec 12, 2023 to Mar 14, 2024
- Assets in custody · $402M to $383MDec 12, 2023 to Mar 14, 2024
- Discretionary RAUM · $2.5B to $3.0BDec 12, 2023 to Mar 14, 2024
- HNW RAUM · $2.6B to $3.1BDec 12, 2023 to Mar 14, 2024
- Individual RAUM · $101M to $105MDec 12, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $254M to $276MDec 12, 2023 to Mar 14, 2024
- Pension RAUM · $6.7M to $7.8MDec 12, 2023 to Mar 14, 2024
- RAUM · $2.8B to $3.3BDec 12, 2023 to Mar 14, 2024
- Accounts · 2,343 to 2,590Nov 30, 2022 to Mar 8, 2023
- Advisory employees · 12 to 13Nov 30, 2022 to Mar 8, 2023
- Charity clients · unset to 2.0Nov 30, 2022 to Mar 8, 2023
Signals
4 dated events
- K••••••• A•• A••••••••• L•• reported RAUM $4.8B, up 48% from $3.3B (2024-03-14 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- Joseph Thomas Klingman (Wealth Advisor) appeared on Schedule A of K••••••• A•• A••••••••• L••Mar 18, 2022 · Control person joined · fact
- Michael Daniel Delmoro (Director Of Investments) appeared on Schedule A of K••••••• A•• A••••••••• L••Mar 18, 2022 · Control person joined · fact
- K••••••• A•• A••••••••• L•• reported RAUM $2.7B, up 27% from $2.1B (2020-11-27 to 2021-03-10)Mar 10, 2021 · RAUM change · derived
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
- Business phone
- 212-867-7647reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/972321/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- K•••••••RIA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-867-7647reportedpublic record, Form ADV, May 1, 2026
- Contact form
- k•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $629Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026