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

C••••• • C•••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 137563SEC 801-64955IAPD
Latest filing Apr 26, 2023
First filing on the tape Apr 2, 2012 · 16 filings
RAUM
$327M
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
15
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
7
$177M gross assets
History
16 filings and snapshots on the tape
RAUM$327M as of Mar 31, 2023
Apr 2, 2012$5.3B then
HNW client RAUM$0 as of Mar 31, 2023
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Apr 2, 20120 then
Employees (5.A)15 as of Mar 31, 2023
Apr 1, 201325 then
Private funds7 as of Mar 31, 2023
Apr 2, 201210 then
RAUM +14% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 26, 2023; 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
$25.2MderivedRAUM 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
+14%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-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$152M, 5 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$202M62%
  • Corporations and businesses$125M38%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
13reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$152M for 5 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
      23 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K•••••• F•••• L•••no longer reportedHedge Fund$248M2Mar 31, 2015
      K•• W••••• F•••• L•••no longer reportedHedge Fund$129M2Apr 1, 2013
      U•••• I••••••••• L••••••Hedge Fund$94.5M10Apr 2, 2012
      K•••••• S•• 7• L•••Hedge Fund$47.5M33Mar 31, 2023
      K•••••• A•••• T••••••• F•••• L•••no longer reportedHedge Fund$24.0M3Apr 2, 2012
      K•••••• C•••••• P••••••• L•Hedge Fund$17.3M22Mar 30, 2016
      K•••••• C•••••• P••••••• L••••••Hedge Fund$7.1M2Mar 30, 2016
      U•••• P•••••••• L•••Hedge Fund$6.7M9Apr 2, 2012
      K•• O•• L•no longer reportedHedge Fund$6.2M1Apr 1, 2013
      U•••• I••••••••• L••••••no longer reportedHedge Fund$5.1M1Apr 2, 2012
      K••••••• P•••••••• L•••no longer reportedHedge Fund$4.2M0Apr 2, 2012
      K•••••• C•••••• P••••••• S••••• F••• L••••••no longer reportedHedge Fund$3.1M1Mar 30, 2017
      K•••••• S•• 6• L••Hedge Fund$1.8M9Mar 31, 2023
      K•••••• S•• 6• L•••Hedge Fund$1.8M8Mar 31, 2022
      K•••••• O••••••••• F••• I•• L•••no longer reportedHedge Fund$1.5M10Apr 2, 2012
      K•••••• O••••••••• F••• I••••••••• L••••••no longer reportedHedge Fund$653,0221Apr 2, 2012
      K•••••• G••••• C•••••• P••••••• L•Hedge Fund$599,0310Mar 30, 2016
      K•••••• O••••••••• F•••• L•••no longer reportedHedge Fund$518,7115Apr 2, 2012
      K••••••• I••••••••• L••••••Hedge Fund$166,4570Apr 2, 2012
      K•••••• G••••• C•••••• P••••••• L••••••Hedge Fund$95,0170Mar 30, 2016
      I••••• C•••••• P••••••• L•••Hedge Fund$56,7370Mar 31, 2022
      K•••••• O••••••••• F••• I••••••••• L••••••no longer reportedHedge Fund$00Apr 2, 2012
      K••••••• I••••••••• L••••••no longer reportedHedge Fund$00Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J••••• S••••• · President And Foundercontrol
        since 12/2003 · owns less than 5%
      • L••••••••• G••••• · Managing Directorcontrol
        since 02/2020 · owns less than 5%
      • N••••••• B••••• F•••••• · Chief Financial Officercontrol
        since 01/2004 · owns less than 5%
      • P•••• R••••••• J••••• · Managing Directorcontrol
        since 05/2021 · owns less than 5%
      • S••••• M••••••• R•••• · Managing Directorcontrol
        since 01/2021 · owns less than 5%
      • C•••••• J••••• S••••• · Shareholdercontrol
        since 09/1985 · owns 75% or more of K•••••• A••••••••• L•••
      • C•••••• J••••• S••••• · Membercontrol
        since 12/2003 · owns 75% or more of J•••• S• C••••• L••
      • C•••••• S•••• J• · Membercontrol
        since 01/2020 · owns 75% or more of B••••••• R••••• L••
      • D••••• P••••••• R•••••• · Membercontrol
        since 01/2020 · owns 75% or more of P•• D••••••••• I••
      • L••••••••• G••••• · Membercontrol
        since 02/2020 · owns 75% or more of M••• L••
      • N••••••• B••••• F•••••• · Membercontrol
        since 01/2004 · owns 75% or more of M••• L••
      • P•••• R••••••• J••••• · Membercontrol
        since 05/2021 · owns 75% or more of R•••••• J••••• P••• L••
      • S••••• M••••••• R•••• · Membercontrol
        since 02/2021 · owns 75% or more of M•••••• R• S•••• L••
      Entity owners
      • J•••• S• C••••• L•• · L•••••• Partner
        direct · owns 25% to 50%
      • K•••••• A••••••••• L••• · General Partner
        direct · owns less than 5%
      • B••••••• R••••• L•• · Member
        indirect · owns 50% to 75% of C••••• H••••••• L••
      • K•• H••••••• I••••••• L•• · Member
        indirect · owns 25% to 50% of C••••••••• L••
      • P••• H••••••• L•• · Member
        indirect · owns 50% to 75% of C••••• H••••••• L••
      • P•• D••••••••• I•• · Member
        indirect · owns 75% or more of P••• H••••••• L••
      • C••••• H••••••• L•• · L•••••• Partner
        direct · owns 5% to 10%
      • C••••••••• L•• · L•••••• Partner
        direct · owns 10% to 25%
      • M•••••• R• S•••• L•• · L•••••• Partner
        direct · owns 10% to 25%
      • M••• L•• · L•••••• Partner
        direct · owns 5% to 10%
      • M••• L•• · L•••••• Partner
        direct · owns 10% to 25%
      • R•••••• J••••• P••• L•• · L•••••• Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list C••••• • C•••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Corporate clients · 3 to 4
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 10 to 9
        Mar 31, 2022 to Mar 31, 2023
      • Assets in custody · $57.9M to $152M
        Mar 31, 2022 to Mar 31, 2023
      • Private funds · 9 to 7
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $288M to $327M
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $114M to $202M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $288M to $327M
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 15 to 13
        Feb 17, 2022 to Mar 31, 2022
      • Advisory employees · 17 to 15
        Feb 17, 2022 to Mar 31, 2022
      • Corporate clients · 4 to 3
        Feb 17, 2022 to Mar 31, 2022
      • Pooled vehicle clients · 11 to 10
        Feb 17, 2022 to Mar 31, 2022
      • Assets in custody · $56.7M to $57.9M
        Feb 17, 2022 to Mar 31, 2022
      • Employees · 17 to 15
        Feb 17, 2022 to Mar 31, 2022
      • Other offices · 0 to 2
        Feb 17, 2022 to Mar 31, 2022
      • Private funds · 10 to 9
        Feb 17, 2022 to Mar 31, 2022
      • Discretionary RAUM · $405M to $288M
        Feb 17, 2022 to Mar 31, 2022
      • Pooled vehicle RAUM · $119M to $114M
        Feb 17, 2022 to Mar 31, 2022
      • RAUM · $405M to $288M
        Feb 17, 2022 to Mar 31, 2022
      • Business name · K•••••• A••••••••• L• to C••••• • C•••••• L•••
        Feb 11, 2022 to Feb 17, 2022
      • Legal name · K•••••• A••••••••• L• to C••••• • C•••••• L•••
        Feb 11, 2022 to Feb 17, 2022
      • Accounts · 18 to 15
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 18 to 17
        Mar 30, 2020 to Mar 31, 2021
      • Corporate clients · 6 to 4
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 12 to 11
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $117M to $56.7M
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 18 to 17
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 11 to 10
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $932M to $405M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $257M to $119M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $932M to $405M
        Mar 30, 2020 to Mar 31, 2021
      • Related adviser · true to false
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 22 to 18
        Mar 30, 2019 to Mar 30, 2020
      • Advisory activities · 3 to 2
        Mar 30, 2019 to Mar 30, 2020
      • Corporate clients · 4 to 6
        Mar 30, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 13 to 12
        Mar 30, 2019 to Mar 30, 2020
      • Assets in custody · $107M to $117M
        Mar 30, 2019 to Mar 30, 2020
      • Employees · 22 to 18
        Mar 30, 2019 to Mar 30, 2020
      • Private funds · 12 to 11
        Mar 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.1B to $932M
        Mar 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $537M to $257M
        Mar 30, 2019 to Mar 30, 2020
      Signals
      12 dated events
      • C••••• • C•••••• L••• reported RAUM $288.1M, down 29% from $405.1M (2022-02-17 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Judson Richard Pyle (Managing Director) appeared on Schedule A of C••••• • C•••••• L•••
        Mar 31, 2022 · Control person joined · fact
      • Edward Charles Hobbs (Member) no longer on Schedule A of C••••• • C•••••• L••• (listed 2020-03-30, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • C••••• • C•••••• L••• reported RAUM $405.1M, down 57% from $932.4M (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Ramez Michael Salem (Member) appeared on Schedule A of C••••• • C•••••• L•••
        Mar 31, 2021 · Control person joined · fact
      • J Sean Conlon (Member) appeared on Schedule A of C••••• • C•••••• L•••
        Mar 31, 2021 · Control person joined · fact
      • George Liberopoulos (Managing Director) appeared on Schedule A of C••••• • C•••••• L•••
        Mar 31, 2021 · Control person joined · fact
      • Richard Patrick Daley (Member) appeared on Schedule A of C••••• • C•••••• L•••
        Mar 31, 2021 · Control person joined · fact
      • Allen Robert Veninata (Member) no longer on Schedule A of C••••• • C•••••• L••• (listed 2019-03-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Martin Alan Best (Director Of Equity Finance) no longer on Schedule A of C••••• • C•••••• L••• (listed 2019-03-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Eli David Glaymon (Managing Director) no longer on Schedule A of C••••• • C•••••• L••• (listed 2019-03-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • C••••• • C•••••• L••• reported RAUM $1.1B, down 48% from $2.1B (2018-08-01 to 2019-03-30)
        Mar 30, 2019 · 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