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••••• V•••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 128138SEC 801-62393IAPD
Latest filing Apr 2, 2020
First filing on the tape Mar 28, 2012 · 21 filings
RAUM
$368M
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
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$368M as of Apr 2, 2020
Mar 28, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2020
Mar 26, 20130 then
Employees (5.A)9 as of Apr 2, 2020
Mar 26, 201314 then
Private funds: no history
RAUM +30% over the last fiscal year+12% a year over threeIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Apr 2, 2020; 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
$368MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+30%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 businesses and institutionsreportedItem 5.G
Custody
$368M, 1 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$368M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$368M for 1 clientsreported
Compensation
% of AUM, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• G•••••••• F••••••• · Director & Chief Operating Officercontrol
        since 12/2015 · owns less than 5%
      • E••••••• M••••• J••••• · Chief Compliance Officercontrol
        since 03/2018 · owns less than 5%
      • H•••••• T•••••• J••• · Chief Financial Officer/Investment Committee Member/Directorcontrol
        since 03/2016 · owns less than 5%
      • K•••••• E•••• R••••••• · Principal/Investment Committee Member/Directorcontrol
        since 03/2015 · owns less than 5%
      • S•••••• G•••• P•••••• · Chairman/Investment Committee Member/Directorcontrol
        since 03/2016 · owns less than 5%
      • K•••••• E••• · Shareholdercontrol
        since 05/2003 · owns 75% or more of K••••• V•••• • C•• L••••••
      Entity owners
      • K••••• V•••• • C•• L•••••• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Advisers that list K••••• V•••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Monaco, Monaco5 employees
      • Zurich, Switzerland5 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $282M to $368M
        Mar 29, 2019 to Apr 2, 2020
      • Employees · 11 to 9
        Mar 29, 2019 to Apr 2, 2020
      • Other offices · 3 to 2
        Mar 29, 2019 to Apr 2, 2020
      • Discretionary RAUM · $282M to $368M
        Mar 29, 2019 to Apr 2, 2020
      • Pooled vehicle RAUM · $282M to $368M
        Mar 29, 2019 to Apr 2, 2020
      • RAUM · $282M to $368M
        Mar 29, 2019 to Apr 2, 2020
      • Related bank · true to false
        Mar 29, 2019 to Apr 2, 2020
      • Accounts · 2 to 1
        Sep 10, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 2 to 1
        Sep 10, 2018 to Mar 29, 2019
      • Assets in custody · $340M to $282M
        Sep 10, 2018 to Mar 29, 2019
      • Employees · 12 to 11
        Sep 10, 2018 to Mar 29, 2019
      • Discretionary RAUM · $340M to $282M
        Sep 10, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $712M to $282M
        Sep 10, 2018 to Mar 29, 2019
      • RAUM · $340M to $282M
        Sep 10, 2018 to Mar 29, 2019
      • Accounts · 5 to 2
        Mar 30, 2018 to Sep 10, 2018
      • Pooled vehicle clients · 1 to 2
        Mar 30, 2018 to Sep 10, 2018
      • Assets in custody · $712M to $340M
        Mar 30, 2018 to Sep 10, 2018
      • Discretionary RAUM · $712M to $340M
        Mar 30, 2018 to Sep 10, 2018
      • RAUM · $712M to $340M
        Mar 30, 2018 to Sep 10, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Mar 30, 2018
      • Assets in custody · $262M to $712M
        Mar 30, 2017 to Mar 30, 2018
      • Other offices · unset to 3.0
        Mar 30, 2017 to Mar 30, 2018
      • Discretionary RAUM · $262M to $712M
        Mar 30, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 711706659.0
        Mar 30, 2017 to Mar 30, 2018
      • RAUM · $262M to $712M
        Mar 30, 2017 to Mar 30, 2018
      • Advisory employees · 6 to 5
        Nov 17, 2016 to Mar 30, 2017
      • Assets in custody · $777M to $262M
        Nov 17, 2016 to Mar 30, 2017
      • Employees · 15 to 12
        Nov 17, 2016 to Mar 30, 2017
      • Discretionary RAUM · $450M to $262M
        Nov 17, 2016 to Mar 30, 2017
      • RAUM · $450M to $262M
        Nov 17, 2016 to Mar 30, 2017
      • Advisory employees · 9 to 6
        Feb 18, 2016 to Mar 30, 2016
      • Employees · 18 to 15
        Feb 18, 2016 to Mar 30, 2016
      • Discretionary RAUM · $777M to $450M
        Feb 18, 2016 to Mar 30, 2016
      • RAUM · $777M to $450M
        Feb 18, 2016 to Mar 30, 2016
      • Employees · 14 to 18
        Sep 16, 2014 to Mar 28, 2015
      • Discretionary RAUM · $1.2B to $777M
        Sep 16, 2014 to Mar 28, 2015
      • RAUM · $1.2B to $777M
        Sep 16, 2014 to Mar 28, 2015
      • Assets in custody · $1.2B to $777M
        Mar 28, 2015 to Mar 28, 2015
      • Accounts · 10 to 5
        Jan 20, 2014 to Mar 25, 2014
      Signals
      2 dated events
      • K••••• V•••• A•••• M••••••••• L•• reported RAUM $339.7M, down 52% from $711.7M (2018-03-30 to 2018-09-10)
        Sep 10, 2018 · RAUM change · derived
      • K••••• V•••• A•••• M••••••••• L•• reported RAUM $711.7M, up 171% from $262.3M (2017-03-30 to 2018-03-30)
        Mar 30, 2018 · 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.
      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