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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SEC-registered adviser
K• F••• A•••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Dec 22, 2011 · 28 filings
SEC status approved since Aug 23, 2006
RAUM
$3.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.2B
derived; firm RAUM over IAPD count
Employees
38
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$3.2B as of Mar 10, 2026
Mar 30, 2012$7.2B then
HNW client RAUM$0 as of Mar 26, 2020
Mar 23, 2018$25.6M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Mar 30, 20120 then
Employees (5.A)38 as of Mar 10, 2026
Mar 18, 201327 then
Private funds2 as of Mar 27, 2017
Mar 30, 20122 then
RAUM -2.3% over the last fiscal year+8.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $3.2BderivedRAUM 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
- $3.2BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 38.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.3%derivedbetween 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- Investment companies$3.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=4.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• C•••••• B•••• from K•••• A••••••• C•••••• A•••••••• L•••Sep 18, 2006 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K• F•••• R•••••• X••• L••no longer reported | Hedge Fund | $406M | 13 | Mar 30, 2012 |
| K• F•••• R••••••• L••no longer reported | Hedge Fund | $377M | 15 | Mar 30, 2012 |
| K•••• W•••••• G•• H••••••• L••no longer reported | Hedge Fund | $147M | 11 | Mar 27, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• C•••••• · Co-Managing Partnercontrolsince 07/2020 · owns 25% to 50%
- B••••••••• M••••••• J• · General Counsel Of Managercontrolsince 07/2021 · owns less than 5%
- B••••• P•••• S••••• · President And Chief Operating Officer Of Managercontrolsince 01/2023 · owns less than 5%
- J•••••• E•••• M•••••• · Co-Managing Partnercontrolsince 12/2023 · owns less than 5%
- K••••• R••••••• A••• · Co-Chairman And Founder Of Managercontrolsince 07/2016 · owns less than 5%
- O•••••• M••••••• J••••• · Chief Compliance Officercontrolsince 03/2012 · owns less than 5%
- R••••• A••••• · Chief Executive Officer Of Managercontrolsince 06/2021 · owns less than 5%
- S••••••• R•••••• V••• · Co-Chairman Of Managercontrolsince 04/2010 · owns less than 5%
- S••••••••• P•••• F•••••• · Chief Financial Officercontrolsince 12/2023 · owns less than 5%
- K••••• R••••••• A••• · Co-Chairman & Foundercontrolsince 06/2010 · owns 25% to 50% of K•••• A••••••• C•••••• A••••••• L•
Entity owners
- K•••• A••••••• C•••••• A••••••• L• · Member/Managerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- K• A••••••••• I•••broker-dealern
- K• C••••• A••••••• I•• L••investment advisernRAUM $395M
- K• C••••• A•••••••• L••investment advisernRAUM $2.3B
- K•••• A••••••• C•••••• A•••••••• L•••investment adviserbankpooled vehicle sponsoryRAUM $34B
Advisers that list K• F••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA5 employees
What changed
consecutive filings, newest first
- BD registered reps · 5 to 4Feb 26, 2025 to Mar 10, 2026
- Insurance-licensed employees · 2 to 1Feb 26, 2025 to Mar 10, 2026
- Discretionary RAUM · $3.3B to $3.2BFeb 26, 2025 to Mar 10, 2026
- RAUM · $3.3B to $3.2BFeb 26, 2025 to Mar 10, 2026
- Advisory employees · 11 to 10Mar 12, 2024 to Feb 26, 2025
- Employees · 40 to 38Mar 12, 2024 to Feb 26, 2025
- Financial planning clients · unset to Mar 12, 2024 to Feb 26, 2025
- Other offices · 1 to 2Mar 12, 2024 to Feb 26, 2025
- Discretionary RAUM · $2.4B to $3.3BMar 12, 2024 to Feb 26, 2025
- RAUM · $2.4B to $3.3BMar 12, 2024 to Feb 26, 2025
- Accounts · 2 to 1Dec 8, 2023 to Mar 12, 2024
- Advisory employees · 23 to 11Dec 8, 2023 to Mar 12, 2024
- BD registered reps · 9 to 5Dec 8, 2023 to Mar 12, 2024
- Employees · 58 to 40Dec 8, 2023 to Mar 12, 2024
- Insurance-licensed employees · 5 to 2Dec 8, 2023 to Mar 12, 2024
- State-registered IARs · 2 to 1Dec 8, 2023 to Mar 12, 2024
- Discretionary RAUM · $2.5B to $2.4BDec 8, 2023 to Mar 12, 2024
- RAUM · $2.5B to $2.4BDec 8, 2023 to Mar 12, 2024
- BD registered reps · 7 to 9Mar 23, 2022 to Mar 17, 2023
- Employees · 59 to 58Mar 23, 2022 to Mar 17, 2023
- Insurance-licensed employees · 7 to 5Mar 23, 2022 to Mar 17, 2023
- State-registered IARs · 4 to 2Mar 23, 2022 to Mar 17, 2023
- Discretionary RAUM · $1.6B to $2.5BMar 23, 2022 to Mar 17, 2023
- RAUM · $1.6B to $2.5BMar 23, 2022 to Mar 17, 2023
- Advisory employees · 22 to 23Jul 27, 2021 to Mar 23, 2022
- Discretionary RAUM · $1.7B to $1.6BJul 27, 2021 to Mar 23, 2022
- RAUM · $1.7B to $1.6BJul 27, 2021 to Mar 23, 2022
- Accounts · 5 to 2Jan 20, 2021 to Mar 24, 2021
- Advisory employees · 26 to 22Jan 20, 2021 to Mar 24, 2021
- Advisory activities · 2 to 1Jan 20, 2021 to Mar 24, 2021
- BD registered reps · 6 to 7Jan 20, 2021 to Mar 24, 2021
- Pension plan clients · 1.0 to unsetJan 20, 2021 to Mar 24, 2021
- Pooled vehicle clients · 1.0 to unsetJan 20, 2021 to Mar 24, 2021
- Employees · 63 to 59Jan 20, 2021 to Mar 24, 2021
- Discretionary RAUM · $4.0B to $1.7BJan 20, 2021 to Mar 24, 2021
- Non-discretionary RAUM · $72.3M to $0Jan 20, 2021 to Mar 24, 2021
- Pension RAUM · 1149000.0 to unsetJan 20, 2021 to Mar 24, 2021
- Pooled vehicle RAUM · 1721000.0 to unsetJan 20, 2021 to Mar 24, 2021
- RAUM · $4.1B to $1.7BJan 20, 2021 to Mar 24, 2021
- Charity clients · 0.0 to unsetMay 27, 2020 to Jan 20, 2021
Signals
15 dated events
- K• F••• A•••••••• L•• reported RAUM $3.3B, up 37% from $2.4B (2024-03-12 to 2025-02-26)Feb 26, 2025 · RAUM change · derived
- Michael Eric Javidi (Co-Managing Partner) appeared on Schedule A of K• F••• A•••••••• L••Mar 12, 2024 · Control person joined · fact
- Francis Paul Stapleton (Chief Financial Officer) appeared on Schedule A of K• F••• A•••••••• L••Mar 12, 2024 · Control person joined · fact
- A. Terry Hart (Chief Financial Officer) no longer on Schedule A of K• F••• A•••••••• L•• (listed 2023-12-08, absent 2024-03-12)Mar 12, 2024 · Control person left · inference
- Charles John Frey (Co-Managing Partner) no longer on Schedule A of K• F••• A•••••••• L•• (listed 2023-12-08, absent 2024-03-12)Mar 12, 2024 · Control person left · inference
- K• F••• A•••••••• L•• reported RAUM $2.5B, up 54% from $1.6B (2022-03-23 to 2023-03-17)Mar 17, 2023 · RAUM change · derived
- Slattery Kevin Mccarthy (Vice Chairman Of Manager) no longer on Schedule A of K• F••• A•••••••• L•• (listed 2021-07-27, absent 2022-03-23)Mar 23, 2022 · Control person left · inference
- J M•••••• B••••••••• (General Counsel Of Manager) appeared on Schedule A of K• F••• A•••••••• L••Mar 23, 2022 · Control person joined · fact
- Vincent Jarvis Hollingsworth (General Counsel Of Manager) no longer on Schedule A of K• F••• A•••••••• L•• (listed 2021-07-02, absent 2021-07-27)Jul 27, 2021 · Control person left · inference
- Jeffrey Michael Levitt (Chief Executive Officer Of Manager) no longer on Schedule A of K• F••• A•••••••• L•• (listed 2021-03-24, absent 2021-07-02)Jul 2, 2021 · Control person left · inference
- Albert Rabil (Chief Executive Officer Of Manager) appeared on Schedule A of K• F••• A•••••••• L••Jul 2, 2021 · Control person joined · fact
- K• F••• A•••••••• L•• reported RAUM $1.7B, down 59% from $4.1B (2021-01-20 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- Charles James Baker (Co-Managing Partner) appeared on Schedule A of K• F••• A•••••••• L••Jan 20, 2021 · Control person joined · fact
- Vincent Jarvis Hollingsworth (General Counsel Of Manager) appeared on Schedule A of K• F••• A•••••••• L••Aug 28, 2019 · Control person joined · fact
- David Shladovsky (General Counsel Of Manager) no longer on Schedule A of K• F••• A•••••••• L•• (listed 2019-03-25, absent 2019-08-28)Aug 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- K• F••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-493-2020reportedpublic record, Form ADV, Mar 10, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026