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•••••••• L•••••• C••••••• L••

Former SEC-registered adviserDenver, ColoradoCRD 144482SEC 801-69490IAPD
Latest filing Mar 27, 2024
First filing on the tape Mar 5, 2012 · 35 filings
RAUM
$167M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.8%
$8.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$167M as of Mar 27, 2024
Mar 5, 2012$205M then
HNW client RAUM$8.0M as of Mar 27, 2024
Mar 29, 2018$790,829 then
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Mar 5, 20120 then
Employees (5.A)5 as of Mar 27, 2024
Mar 4, 20138 then
Private funds: no history
RAUM -9.6% over the last fiscal year-25% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
RAUM per advisor
$167MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$318,325derivedHNW RAUM over HNW clients
Average account
$4.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.6%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 individuals, portfolio management for businesses and institutions, portfolio management for investment companies, 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
  • 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
  • Investment companies$156M93%
  • High-net-worth individuals$8.0M4.8%
  • Charitable organizations$2.0M1.2%
  • Pension and profit-sharing plans$1.2M0.7%
Individual clients
n/areported
HNW clients
25reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35reported
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
Left, latest
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
    • V•••••••• S•••••• C•••• · Chief Executive Officercontrol
      since 01/2006 · owns less than 5%
    • V•••••••• S•••••• C•••• · Ownercontrol
      since 11/2015 · owns 75% or more of I••••••••• C••••••• L••
    • L•••••• S•••••• C•••••• · Chief Compliance Officer
      since 01/2023 · owns less than 5%
    • R•••••••• J•••• B••• · Chief Operating Officer
      since 07/2008 · owns less than 5%
    Entity owners
    • K•••••••• L•••••• H•••••••• L•• · Member
      direct · owns 75% or more
    • I••••••••• C••••••• L•• · Member
      indirect · owns 75% or more of K•••••••• L•••••• H•••••••• L••
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Denver, Co · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 60 to 35
      Dec 5, 2023 to Mar 27, 2024
    • Advisory employees · 4 to 3
      Dec 5, 2023 to Mar 27, 2024
    • BD registered reps · 1 to 0
      Dec 5, 2023 to Mar 27, 2024
    • HNW clients · 47 to 25
      Dec 5, 2023 to Mar 27, 2024
    • Pension plan clients · 7.0 to unset
      Dec 5, 2023 to Mar 27, 2024
    • Employees · 7 to 5
      Dec 5, 2023 to Mar 27, 2024
    • Discretionary RAUM · $185M to $167M
      Dec 5, 2023 to Mar 27, 2024
    • HNW RAUM · $10.9M to $8.0M
      Dec 5, 2023 to Mar 27, 2024
    • Pension RAUM · $3.4M to $1.2M
      Dec 5, 2023 to Mar 27, 2024
    • RAUM · $185M to $167M
      Dec 5, 2023 to Mar 27, 2024
    • Accounts · 65 to 60
      Feb 6, 2023 to Mar 28, 2023
    • Advisory employees · 2 to 4
      Feb 6, 2023 to Mar 28, 2023
    • HNW clients · 52 to 47
      Feb 6, 2023 to Mar 28, 2023
    • Employees · 5 to 7
      Feb 6, 2023 to Mar 28, 2023
    • Discretionary RAUM · $366M to $185M
      Feb 6, 2023 to Mar 28, 2023
    • HNW RAUM · $14.5M to $10.9M
      Feb 6, 2023 to Mar 28, 2023
    • Pension RAUM · $4.3M to $3.4M
      Feb 6, 2023 to Mar 28, 2023
    • RAUM · $366M to $185M
      Feb 6, 2023 to Mar 28, 2023
    • Accounts · 63 to 65
      Mar 29, 2021 to Mar 16, 2022
    • HNW clients · 51 to 52
      Mar 29, 2021 to Mar 16, 2022
    • Pension plan clients · 6 to 7
      Mar 29, 2021 to Mar 16, 2022
    • Employees · 6 to 5
      Mar 29, 2021 to Mar 16, 2022
    • Discretionary RAUM · $397M to $366M
      Mar 29, 2021 to Mar 16, 2022
    • HNW RAUM · $13.9M to $14.5M
      Mar 29, 2021 to Mar 16, 2022
    • Pension RAUM · $3.4M to $4.3M
      Mar 29, 2021 to Mar 16, 2022
    • RAUM · $397M to $366M
      Mar 29, 2021 to Mar 16, 2022
    • Accounts · 60 to 63
      Jan 4, 2021 to Mar 29, 2021
    • BD registered reps · 2 to 1
      Jan 4, 2021 to Mar 29, 2021
    • HNW clients · 48 to 51
      Jan 4, 2021 to Mar 29, 2021
    • Pension plan clients · 7 to 6
      Jan 4, 2021 to Mar 29, 2021
    • Employees · 8 to 6
      Jan 4, 2021 to Mar 29, 2021
    • Discretionary RAUM · $149M to $397M
      Jan 4, 2021 to Mar 29, 2021
    • HNW RAUM · $9.9M to $13.9M
      Jan 4, 2021 to Mar 29, 2021
    • Pension RAUM · $3.7M to $3.4M
      Jan 4, 2021 to Mar 29, 2021
    • RAUM · $149M to $397M
      Jan 4, 2021 to Mar 29, 2021
    • Accounts · 59 to 60
      Aug 9, 2019 to Mar 30, 2020
    • Corporate clients · 18.0 to unset
      Aug 9, 2019 to Mar 30, 2020
    • HNW clients · unset to 48.0
      Aug 9, 2019 to Mar 30, 2020
    • Individual clients · 30.0 to unset
      Aug 9, 2019 to Mar 30, 2020
    • Other offices · 1 to 0
      Aug 9, 2019 to Mar 30, 2020
    Signals
    6 dated events
    • B••••• N••• C••••• left K•••••••• L•••••• C••••••• L•• for Lido (registered 2022-02-04)
      Apr 10, 2024 · Advisor changed firm · fact
    • K•••••••• L•••••• C••••••• L•• reported RAUM $184.6M, down 50% from $366.1M (2023-02-06 to 2023-03-28)
      Mar 28, 2023 · RAUM change · derived
    • K•••••••• L•••••• C••••••• L•• reported RAUM $396.7M, up 167% from $148.5M (2021-01-04 to 2021-03-29)
      Mar 29, 2021 · RAUM change · derived
    • Paul Andrew Chica (Chief Compliance Officer) no longer on Schedule A of K•••••••• L•••••• C••••••• L•• (listed 2020-06-26, absent 2021-01-04)
      Jan 4, 2021 · Control person left · inference
    • Paul Andrew Chica (Chief Compliance Officer) appeared on Schedule A of K•••••••• L•••••• C••••••• L••
      May 2, 2019 · Control person joined · fact
    • K•••••••• L•••••• C••••••• L•• reported RAUM $223.9M, down 55% from $497.6M (2018-11-30 to 2019-03-29)
      Mar 29, 2019 · 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