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••••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 139011SEC 801-65612IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$76.7M
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
83
18 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
5
$80.0M gross assets
History
15 filings and snapshots on the tape
RAUM$76.7M as of Mar 29, 2019
Mar 30, 2012$164M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)83 as of Mar 29, 2019
Mar 28, 201381 then
Private funds5 as of Mar 29, 2019
Mar 30, 20125 then
RAUM -62% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$15.3MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-62%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 pooled vehiclesreportedItem 5.G
Custody
$76.7M, 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)
  • 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$76.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$76.7M 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• S••••• · President And Elected Managercontrol
        since 04/2011 · owns less than 5%
      • D••••• L•••••••• P•••••• · Elected Managercontrol
        since 05/2000 · owns less than 5%
      • D••••• P••••• B•••••• · Managing Director And Elected Managercontrol
        since 05/2000 · owns less than 5%
      • E••••• T•••••• C••••••• · Elected Managercontrol
        since 04/2011 · owns less than 5%
      • G•••••••• R••••••• W•••• · Chief Compliance Officer, Senior Vice President And Associate General Counselcontrol
        since 01/2017 · owns less than 5%
      • K••••••• J••• H••••• · General Counsel, Managing Director, Elected Manager And Secretarycontrol
        since 08/2006 · owns less than 5%
      • P•••••••• L••••• · Chief Financial Officer And Elected Managercontrol
        since 05/2000 · owns less than 5%
      • R•••• H•••• M•••••• · Chief Operating Officer, Managing Director, Elected Manager And Secretarycontrol
        since 04/2011 · owns less than 5%
      • S••••• M••••• · Chairman, Chief Executive Officer, And Chief Investment Officercontrol
        since 04/2011 · owns less than 5%
      • B••••••• S••••• · Elected Managercontrol
        since 04/2011 · owns F of H•••••• K••••••• L••
      • D••••• L•••••••• P•••••• · Elected Managercontrol
        since 04/2011 · owns F of H•••••• K••••••• L••
      • D••••• P••••• B•••••• · Elected Managercontrol
        since 04/2011 · owns F of H•••••• K••••••• L••
      • E••••• T•••••• C••••••• · Elected Managercontrol
        since 04/2011 · owns F of H•••••• K••••••• L••
      • K••••••• J••• H••••• · Elected Managercontrol
        since 04/2011 · owns F of H•••••• K••••••• L••
      • P•••••••• L••••• · Elected Managercontrol
        since 04/2011 · owns F of H•••••• K••••••• L••
      • R•••• H•••• M•••••• · Elected Managercontrol
        since 04/2011 · owns F of H•••••• K••••••• L••
      • S••••• M••••• · Chairman Of The Board Of Managers And Elected Managercontrol
        since 04/2011 · owns F of H•••••• K••••••• L••
      Entity owners
      • H•••••• K••••••• L•• · Owner
        direct · owns 75% or more
      • H•••••• C••••• I•• · Owner
        indirect · owns 25% to 50% of H•••••• K••••••• L••
      • K••••••• C••••• I•• · Owner
        indirect · owns 25% to 50% of H•••••• K••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list K••••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Charlotte, NC2 employees
      • Summit, NJ1 employees
      • White Plains, NY1 employees
      What changed
      consecutive filings, newest first
      • BD registered reps · 24 to 25
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $158M to $76.7M
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 79 to 83
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $201M to $76.7M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $201M to $76.7M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $201M to $76.7M
        Mar 29, 2018 to Mar 29, 2019
      • BD registered reps · 25 to 24
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 29, 2017 to Mar 29, 2018
      • Assets in custody · $57.2M to $158M
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 80 to 79
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 3.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $67.9M to $201M
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 200569783.0
        Mar 29, 2017 to Mar 29, 2018
      • RAUM · $67.9M to $201M
        Mar 29, 2017 to Mar 29, 2018
      • BD registered reps · 23 to 25
        Jan 25, 2017 to Mar 29, 2017
      • Assets in custody · $44.9M to $57.2M
        Jan 25, 2017 to Mar 29, 2017
      • Employees · 82 to 80
        Jan 25, 2017 to Mar 29, 2017
      • Discretionary RAUM · $54.0M to $67.9M
        Jan 25, 2017 to Mar 29, 2017
      • RAUM · $54.0M to $67.9M
        Jan 25, 2017 to Mar 29, 2017
      • Assets in custody · unset to 44879853.0
        Mar 30, 2016 to Oct 19, 2016
      • Custody of client assets · false to true
        Mar 30, 2016 to Oct 19, 2016
      • Advisory employees · 21 to 18
        Nov 4, 2015 to Mar 30, 2016
      • BD registered reps · 21 to 23
        Nov 4, 2015 to Mar 30, 2016
      • Employees · 81 to 82
        Nov 4, 2015 to Mar 30, 2016
      • Discretionary RAUM · $202M to $54.0M
        Nov 4, 2015 to Mar 30, 2016
      • RAUM · $202M to $54.0M
        Nov 4, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 1
        Nov 26, 2014 to Mar 31, 2015
      • BD registered reps · 24 to 21
        Nov 26, 2014 to Mar 31, 2015
      • Discretionary RAUM · $230M to $202M
        Nov 26, 2014 to Mar 31, 2015
      • RAUM · $230M to $202M
        Nov 26, 2014 to Mar 31, 2015
      • Accounts · 3 to 5
        Mar 28, 2013 to Apr 2, 2014
      • BD registered reps · 10 to 24
        Mar 28, 2013 to Apr 2, 2014
      • Discretionary RAUM · $104M to $230M
        Mar 28, 2013 to Apr 2, 2014
      • RAUM · $104M to $230M
        Mar 28, 2013 to Apr 2, 2014
      • Advisory employees · unset to 21.0
        Jun 13, 2012 to Mar 28, 2013
      • BD registered reps · unset to 10.0
        Jun 13, 2012 to Mar 28, 2013
      • Employees · unset to 81.0
        Jun 13, 2012 to Mar 28, 2013
      • HQ city · ELMSFORD to NEW YORK
        Jun 13, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Jun 13, 2012 to Mar 28, 2013
      • Discretionary RAUM · $164M to $104M
        Jun 13, 2012 to Mar 28, 2013
      Signals
      2 dated events
      • K••••••• A•••••••• L•• reported RAUM $76.7M, down 62% from $200.6M (2018-03-29 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • K••••••• A•••••••• L•• reported RAUM $200.6M, up 196% from $67.9M (2017-03-29 to 2018-03-29)
        Mar 29, 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