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•••• M••••••••• L••

Former SEC-registered adviserCambridge, MassachusettsCRD 141640SEC 801-72353IAPD
Latest filing Apr 1, 2013
First filing on the tape Mar 23, 2012 · 3 filings
RAUM
$84.7M
reported, Item 5.F
Discretionary
95%
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
13
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$84.7M as of Apr 1, 2013
Mar 23, 2012$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 1, 2013
Mar 23, 20120 then
Employees (5.A): 13
Private funds: no history
RAUM -16% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Apr 1, 2013; every figure names its basis
RAUM per advisor
$84.7MderivedRAUM 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
$519,772derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
13.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-16%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 individuals, portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
163reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• J•••••• A• · Chief Operating Officercontrol
    since 01/2012 · owns less than 5%
  • L•••••• D••••• W•••• · Managing Membercontrol
    since 08/2006 · owns 5% to 10%
  • E•••••••• V••••••• J•••• · Partnercontrol
    since 11/2009 · owns 25% to 50% of N•• P•••••••• L••
  • H•••••• G•••••••• R••••• · Partnercontrol
    since 11/2009 · owns 25% to 50% of N•• P•••••••• L••
  • S••••••••• V•••••••• I•••••••• · Ownercontrol
    since 12/2011 · owns 75% or more of Fund For P•••••• Investments, Sa
  • C•••••• L••••• C••• · Chief Compliance Officer
    since 03/2012 · owns less than 5%
Entity owners
  • N•• C••••••• L• · Managing Member
    direct · owns 75% or more
  • N•• P•••••••• L•• · General Partner Of Npi Capital
    direct · owns less than 5%
  • F••• F•• P•••••• I••••••••• S•• · Owner
    indirect · owns 75% or more of W••••• I••••••••• L••
  • N•• P•••••••• L•• · General Partner
    indirect · owns F of N•• C••••••• L•
  • W••••• I••••••••• L•• · Partner
    indirect · owns 75% or more of N•• C••••••• L•
  • B••••••••• G•••• L•• · Partner
    indirect · owns 25% to 50% of N•• C••••••• L•
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Exton, PA
What changed
consecutive filings, newest first
  • Accounts · 260 to 163
    Nov 9, 2012 to Apr 1, 2013
  • Advisory employees · 3 to 6
    Nov 9, 2012 to Apr 1, 2013
  • Employees · 10 to 13
    Nov 9, 2012 to Apr 1, 2013
  • Discretionary RAUM · $90.0M to $80.2M
    Nov 9, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $11.3M to $4.5M
    Nov 9, 2012 to Apr 1, 2013
  • RAUM · $101M to $84.7M
    Nov 9, 2012 to Apr 1, 2013
  • Advisory employees · unset to 3.0
    Mar 23, 2012 to Nov 9, 2012
  • Employees · unset to 10.0
    Mar 23, 2012 to Nov 9, 2012
  • State-registered IARs · 0 to 1
    Mar 23, 2012 to Nov 9, 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