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.

Former SEC-registered adviser

Kls Professional Advisors Group, LLC

Former SEC-registered adviserNew York, New YorkCRD 133319SEC 801-63665IAPD
Latest filing Jun 21, 2019
First filing on the tape Mar 28, 2012 · 22 filings
RAUM
$5.8B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$5.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
55
31 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$5.8B as of Mar 22, 2019
Mar 28, 2012$4.8B then
HNW client RAUM$5.7B as of Mar 22, 2019
Mar 30, 2018$6.1B then
State-registered IARs (5.B.3)7 as of Mar 22, 2019
Mar 28, 20120 then
Employees (5.A)55 as of Mar 22, 2019
Mar 26, 201338 then
Private funds: no history
RAUM -5.7% over the last fiscal year+2.0% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Jun 21, 2019; every figure names its basis
RAUM per advisor
$836MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
137derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.6MderivedHNW RAUM over HNW clients
Average account
$670,036derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.9derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-5.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.1%derived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.7B98%
  • Individuals$110M1.9%
  • Corporations and businesses$11.8M0.2%
  • Charitable organizations$1.8M0.0%
Individual clients
208reported
HNW clients
754reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
8,729reported
Financial planning clients
1,000reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Sean Casey · Chief Compliance Officercontrol
      since 02/2017 · owns less than 5%
    • Anthony Dechellis · Board Membercontrol
      since 01/2019 · owns less than 5%
    • Michael Steven Gaven · Board Membercontrol
      since 01/2019 · owns less than 5%
    • Neal Arthur Langhaus · Board Member/Chief Financial Officercontrol
      since 11/2004 · owns less than 5%
    • Peter Gary Sica · Board Membercontrol
      since 01/2014 · owns less than 5%
    Entity owners
    • Boston Private Financial Holdings, Inc. · Managing Member
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Kls Professional Advisors Group, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Los Angeles, CA2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 8,703 to 8,729
      Jan 3, 2019 to Mar 22, 2019
    • Advisory employees · 32 to 31
      Jan 3, 2019 to Mar 22, 2019
    • Corporate clients · 3 to 4
      Jan 3, 2019 to Mar 22, 2019
    • HNW clients · 777 to 754
      Jan 3, 2019 to Mar 22, 2019
    • Individual clients · 196 to 208
      Jan 3, 2019 to Mar 22, 2019
    • Employees · 45 to 55
      Jan 3, 2019 to Mar 22, 2019
    • Discretionary RAUM · $5.6B to $5.3B
      Jan 3, 2019 to Mar 22, 2019
    • HNW RAUM · $6.1B to $5.7B
      Jan 3, 2019 to Mar 22, 2019
    • Individual RAUM · $105M to $110M
      Jan 3, 2019 to Mar 22, 2019
    • Non-discretionary RAUM · $591M to $512M
      Jan 3, 2019 to Mar 22, 2019
    • RAUM · $6.2B to $5.8B
      Jan 3, 2019 to Mar 22, 2019
    • Accounts · 8,704 to 8,703
      Mar 30, 2017 to Mar 30, 2018
    • Advisory employees · 34 to 32
      Mar 30, 2017 to Mar 30, 2018
    • Charity clients · unset to 1.0
      Mar 30, 2017 to Mar 30, 2018
    • Corporate clients · unset to 3.0
      Mar 30, 2017 to Mar 30, 2018
    • HNW clients · unset to 777.0
      Mar 30, 2017 to Mar 30, 2018
    • Individual clients · unset to 196.0
      Mar 30, 2017 to Mar 30, 2018
    • State-registered IARs · 8 to 7
      Mar 30, 2017 to Mar 30, 2018
    • Other offices · unset to 1.0
      Mar 30, 2017 to Mar 30, 2018
    • Discretionary RAUM · $5.0B to $5.6B
      Mar 30, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 6090604670.0
      Mar 30, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 104862818.0
      Mar 30, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $562M to $591M
      Mar 30, 2017 to Mar 30, 2018
    • RAUM · $5.6B to $6.2B
      Mar 30, 2017 to Mar 30, 2018
    • Wrap assets (manager) · unset to 0.0
      Mar 30, 2017 to Mar 30, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Mar 30, 2017 to Mar 30, 2018
    • Accounts · 8,991 to 8,704
      Mar 7, 2017 to Mar 30, 2017
    • Advisory employees · 36 to 34
      Mar 7, 2017 to Mar 30, 2017
    • Employees · 49 to 45
      Mar 7, 2017 to Mar 30, 2017
    • Discretionary RAUM · $5.0B to $5.0B
      Mar 7, 2017 to Mar 30, 2017
    • Non-discretionary RAUM · $554M to $562M
      Mar 7, 2017 to Mar 30, 2017
    • RAUM · $5.5B to $5.6B
      Mar 7, 2017 to Mar 30, 2017
    • Accounts · 8,995 to 8,991
      Jul 1, 2015 to Mar 30, 2016
    • Advisory employees · 37 to 36
      Jul 1, 2015 to Mar 30, 2016
    • Employees · 46 to 49
      Jul 1, 2015 to Mar 30, 2016
    • State-registered IARs · 7 to 8
      Jul 1, 2015 to Mar 30, 2016
    • Discretionary RAUM · $5.2B to $5.0B
      Jul 1, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $646M to $554M
      Jul 1, 2015 to Mar 30, 2016
    • RAUM · $5.8B to $5.5B
      Jul 1, 2015 to Mar 30, 2016
    • State-registered IARs · 6 to 7
      Mar 31, 2015 to Apr 13, 2015
    Signals
    5 dated events
    • Michael Steven Gaven (Board Member) appeared on Schedule A of Kls Professional Advisors Group, Llc
      Jan 3, 2019 · Control person joined · fact
    • Anthony Dechellis (Board Member) appeared on Schedule A of Kls Professional Advisors Group, Llc
      Jan 3, 2019 · Control person joined · fact
    • George Clayton Deutsch (Board Member) no longer on Schedule A of Kls Professional Advisors Group, Llc (listed 2018-03-30, absent 2019-01-03)
      Jan 3, 2019 · Control person left · inference
    • Warner Margaret Chambers (Board Member) no longer on Schedule A of Kls Professional Advisors Group, Llc (listed 2018-03-30, absent 2019-01-03)
      Jan 3, 2019 · Control person left · inference
    • Mari Georgia Pangle (Board Member) no longer on Schedule A of Kls Professional Advisors Group, Llc (listed 2018-03-30, absent 2019-01-03)
      Jan 3, 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.
    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