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Former SEC-registered adviser

K••••••••• A••••••• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 137786SEC 801-65301IAPD
Latest filing Mar 11, 2020
First filing on the tape Mar 20, 2012 · 13 filings
RAUM
$58.8M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$58.8M gross assets
History
13 filings and snapshots on the tape
RAUM$58.8M as of Mar 11, 2020
Mar 20, 2012$135M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2020
Mar 20, 20120 then
Employees (5.A)6 as of Mar 11, 2020
Feb 25, 20137 then
Private funds1 as of Mar 11, 2020
Mar 20, 20121 then
RAUM -18% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 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
$58.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-18%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$58.8M, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$58.8M100%
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
$58.8M for 1 clientsreported
Compensation
% of AUMreported
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
      K••••••••• C••••• F•••• L•••Hedge Fund$50.3M47Mar 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• P••••• C•••••• · Member & Chief Compliance Officercontrol
        since 10/2003 · owns 25% to 50%
      • N••••••••• P•••• · Membercontrol
        since 08/2011 · owns 25% to 50%
      • S••••••••• M••••• K••• · Managing Membercontrol
        since 10/2003 · owns 25% to 50%
      • S•••••• P•••• A•••• · Membercontrol
        since 10/2003 · owns 25% to 50%
      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
      • Advisory employees · 5 to 6
        Feb 12, 2019 to Mar 11, 2020
      • Assets in custody · $71.3M to $58.8M
        Feb 12, 2019 to Mar 11, 2020
      • Discretionary RAUM · $71.3M to $58.8M
        Feb 12, 2019 to Mar 11, 2020
      • Pooled vehicle RAUM · $71.3M to $58.8M
        Feb 12, 2019 to Mar 11, 2020
      • RAUM · $71.3M to $58.8M
        Feb 12, 2019 to Mar 11, 2020
      • Assets in custody · $83.4M to $71.3M
        May 15, 2018 to Feb 12, 2019
      • Discretionary RAUM · $83.4M to $71.3M
        May 15, 2018 to Feb 12, 2019
      • Pooled vehicle RAUM · $83.4M to $71.3M
        May 15, 2018 to Feb 12, 2019
      • RAUM · $83.4M to $71.3M
        May 15, 2018 to Feb 12, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Mar 27, 2018
      • Assets in custody · $96.0M to $83.4M
        Mar 30, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 27, 2018
      • Discretionary RAUM · $96.0M to $83.4M
        Mar 30, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 83371614.0
        Mar 30, 2017 to Mar 27, 2018
      • RAUM · $96.0M to $83.4M
        Mar 30, 2017 to Mar 27, 2018
      • Assets in custody · $99.1M to $96.0M
        Mar 11, 2016 to Mar 30, 2017
      • Discretionary RAUM · $99.1M to $96.0M
        Mar 11, 2016 to Mar 30, 2017
      • RAUM · $99.1M to $96.0M
        Mar 11, 2016 to Mar 30, 2017
      • Assets in custody · $108M to $99.1M
        Feb 25, 2015 to Mar 11, 2016
      • Discretionary RAUM · $108M to $99.1M
        Feb 25, 2015 to Mar 11, 2016
      • RAUM · $108M to $99.1M
        Feb 25, 2015 to Mar 11, 2016
      • Assets in custody · $110M to $108M
        Jul 11, 2014 to Feb 25, 2015
      • Discretionary RAUM · $110M to $108M
        Jul 11, 2014 to Feb 25, 2015
      • RAUM · $110M to $108M
        Jul 11, 2014 to Feb 25, 2015
      • Advisory employees · 6 to 5
        Feb 25, 2013 to Mar 19, 2014
      • Assets in custody · $132M to $110M
        Feb 25, 2013 to Mar 19, 2014
      • Employees · 7 to 6
        Feb 25, 2013 to Mar 19, 2014
      • Discretionary RAUM · $132M to $110M
        Feb 25, 2013 to Mar 19, 2014
      • RAUM · $132M to $110M
        Feb 25, 2013 to Mar 19, 2014
      • Advisory employees · unset to 6.0
        Oct 26, 2012 to Feb 25, 2013
      • Assets in custody · $133M to $132M
        Oct 26, 2012 to Feb 25, 2013
      • Employees · unset to 7.0
        Oct 26, 2012 to Feb 25, 2013
      • HQ city · NORWALK to BOCA RATON
        Oct 26, 2012 to Feb 25, 2013
      • HQ state · CT to FL
        Oct 26, 2012 to Feb 25, 2013
      • Discretionary RAUM · $133M to $132M
        Oct 26, 2012 to Feb 25, 2013
      • RAUM · $133M to $132M
        Oct 26, 2012 to Feb 25, 2013
      • Assets in custody · $135M to $133M
        Mar 20, 2012 to Oct 26, 2012
      • Discretionary RAUM · $135M to $133M
        Mar 20, 2012 to Oct 26, 2012
      • RAUM · $135M to $133M
        Mar 20, 2012 to Oct 26, 2012
      Signals
      No event on the tape.
      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