DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

K••• A•••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 139246SEC 801-68247IAPD
Latest filing Jul 5, 2022
First filing on the tape Apr 27, 2012 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$61.7M as of Apr 1, 2021
Apr 27, 2012$31.4M then
HNW client RAUM: $220,000
State-registered IARs (5.B.3)1 as of Jul 5, 2022
Apr 27, 20120 then
Employees (5.A)1 as of Jul 5, 2022
May 14, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 5, 2022; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • W•••••• M••• · Ceo/Cio & Director & LLC-Member & Chief Compliance Officercontrol
        since 01/2006 · owns 50% to 75%
      • B••••• D••••• · LLC-Member
        since 07/2006 · owns 5% to 10%
      • C•••••• L••••• · LLC-Member
        since 07/2006 · owns less than 5%
      • M••••••• R••••••• A•••••• · Director & LLC-Member
        since 07/2006 · owns less than 5%
      • M•••••• L•••••••• P•••••• · LLC-Member
        since 07/2006 · owns 10% to 25%
      • W•••••• A••••••• C•••••• · LLC-Member
        since 07/2006 · owns less than 5%
      • W•••••••• A••••••• G•••• · LLC-Member
        since 07/2006 · owns 5% to 10%
      Entity owners
      • G•••• S•••••••• · LLC-Member/Owner
        indirect · owns 50% to 75% of G••••• I••••••••• M•••••••• L••
      • G••••• I••••••••• M•••••••• L•• · LLC-Member
        direct · owns 5% to 10%
      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
      • Accounts · 4.0 to unset
        Apr 1, 2021 to Jul 5, 2022
      • Advisory activities · 3 to 1
        Apr 1, 2021 to Jul 5, 2022
      • Discretionary RAUM · 1670000.0 to unset
        Apr 1, 2021 to Jul 5, 2022
      • Non-discretionary RAUM · 60000000.0 to unset
        Apr 1, 2021 to Jul 5, 2022
      • RAUM · 61670000.0 to unset
        Apr 1, 2021 to Jul 5, 2022
      • Wrap assets (manager) · 1200000.0 to unset
        Apr 1, 2021 to Jul 5, 2022
      • Wrap assets (sponsor) · 0.0 to unset
        Apr 1, 2021 to Jul 5, 2022
      • Employees · 2 to 1
        Jun 29, 2020 to Apr 1, 2021
      • Discretionary RAUM · $1.5M to $1.7M
        Jun 29, 2020 to Apr 1, 2021
      • Non-discretionary RAUM · $55.0M to $60.0M
        Jun 29, 2020 to Apr 1, 2021
      • RAUM · $56.5M to $61.7M
        Jun 29, 2020 to Apr 1, 2021
      • Discretionary RAUM · $75.0M to $1.5M
        Oct 21, 2019 to Jun 29, 2020
      • Non-discretionary RAUM · $1.8M to $55.0M
        Oct 21, 2019 to Jun 29, 2020
      • RAUM · $76.8M to $56.5M
        Oct 21, 2019 to Jun 29, 2020
      • Other offices · 1 to 0
        Jul 7, 2019 to Oct 21, 2019
      • Discretionary RAUM · $76.8M to $75.0M
        Jul 7, 2019 to Oct 21, 2019
      • Non-discretionary RAUM · $0 to $1.8M
        Jul 7, 2019 to Oct 21, 2019
      • Accounts · 5 to 4
        Mar 29, 2018 to Jul 7, 2019
      • Discretionary RAUM · $62.1M to $76.8M
        Mar 29, 2018 to Jul 7, 2019
      • HNW RAUM · 220000.0 to unset
        Mar 29, 2018 to Jul 7, 2019
      • RAUM · $62.1M to $76.8M
        Mar 29, 2018 to Jul 7, 2019
      • Accounts · 6 to 5
        Apr 22, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Apr 22, 2017 to Mar 29, 2018
      • Discretionary RAUM · $67.5M to $62.1M
        Apr 22, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 220000.0
        Apr 22, 2017 to Mar 29, 2018
      • RAUM · $67.5M to $62.1M
        Apr 22, 2017 to Mar 29, 2018
      • Wrap assets (manager) · unset to 1200000.0
        Apr 22, 2017 to Mar 29, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Apr 22, 2017 to Mar 29, 2018
      • Accounts · 9 to 6
        Oct 21, 2016 to Apr 22, 2017
      • Discretionary RAUM · $71.6M to $67.5M
        Oct 21, 2016 to Apr 22, 2017
      • RAUM · $71.6M to $67.5M
        Oct 21, 2016 to Apr 22, 2017
      • Accounts · 8 to 9
        Mar 30, 2015 to Apr 8, 2016
      • Advisory employees · 2 to 1
        Mar 30, 2015 to Apr 8, 2016
      • Employees · 3 to 2
        Mar 30, 2015 to Apr 8, 2016
      • Discretionary RAUM · $34.9M to $71.6M
        Mar 30, 2015 to Apr 8, 2016
      • RAUM · $34.9M to $71.6M
        Mar 30, 2015 to Apr 8, 2016
      • Accounts · 7 to 8
        Mar 22, 2014 to Mar 30, 2015
      • BD registered reps · 1 to 0
        Mar 22, 2014 to Mar 30, 2015
      • Discretionary RAUM · $30.6M to $34.9M
        Mar 22, 2014 to Mar 30, 2015
      • RAUM · $30.6M to $34.9M
        Mar 22, 2014 to Mar 30, 2015
      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