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•••••• K•••• A•••••••

Former SEC-registered adviserMercer Island, WashingtonCRD 144504SEC 801-112377IAPD
Legal name K•••••• K•••• A••••••• L••
Latest filing Mar 16, 2021
First filing on the tape Jan 2, 2018 · 9 filings
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$144M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$155M as of Mar 16, 2021
Mar 28, 2018$110M then
HNW client RAUM$126M as of Mar 16, 2021
Mar 28, 2018$79.0M then
State-registered IARs (5.B.3)2 as of Mar 16, 2021
Mar 28, 20182 then
Employees (5.A)2 as of Mar 16, 2021
Mar 28, 20182 then
Private funds: no history
RAUM +20% over the last fiscal year+12% a year over threeIARs 2 to 2offices 0 to 2
Practice profile
derived from the filing of Mar 16, 2021; every figure names its basis
RAUM per advisor
$77.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$475,622derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$2.0M, 45 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$126M81%
  • Individuals$18.2M12%
  • Charitable organizations$10.8M7.0%
Individual clients
39reported
HNW clients
57reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
325reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$2.0M for 45 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • K••••• V••••••• M•••• · Managing Member And Chief Compliance Officercontrol
      since 07/2007 · owns 50% to 75%
    • K••••••• L••••• M•••••• · Managing Membercontrol
      since 07/2007 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 305 to 325
      Jun 17, 2020 to Mar 16, 2021
    • Advisory activities · 3 to 2
      Jun 17, 2020 to Mar 16, 2021
    • HNW clients · 42 to 57
      Jun 17, 2020 to Mar 16, 2021
    • Individual clients · 49 to 39
      Jun 17, 2020 to Mar 16, 2021
    • Assets in custody · $2.2M to $2.0M
      Jun 17, 2020 to Mar 16, 2021
    • Financial planning clients · 51-100 to 1-10
      Jun 17, 2020 to Mar 16, 2021
    • Other offices · 0 to 2
      Jun 17, 2020 to Mar 16, 2021
    • Discretionary RAUM · $128M to $155M
      Jun 17, 2020 to Mar 16, 2021
    • HNW RAUM · $93.5M to $126M
      Jun 17, 2020 to Mar 16, 2021
    • Individual RAUM · $25.3M to $18.2M
      Jun 17, 2020 to Mar 16, 2021
    • RAUM · $128M to $155M
      Jun 17, 2020 to Mar 16, 2021
    • Accounts · 277 to 305
      Mar 19, 2019 to Mar 9, 2020
    • HNW clients · 41 to 42
      Mar 19, 2019 to Mar 9, 2020
    • Individual clients · 42 to 49
      Mar 19, 2019 to Mar 9, 2020
    • Assets in custody · $2.3M to $2.2M
      Mar 19, 2019 to Mar 9, 2020
    • Discretionary RAUM · $109M to $128M
      Mar 19, 2019 to Mar 9, 2020
    • HNW RAUM · $77.7M to $93.5M
      Mar 19, 2019 to Mar 9, 2020
    • Individual RAUM · $22.3M to $25.3M
      Mar 19, 2019 to Mar 9, 2020
    • RAUM · $109M to $128M
      Mar 19, 2019 to Mar 9, 2020
    • Accounts · 271 to 277
      Mar 28, 2018 to Mar 19, 2019
    • HNW clients · 40 to 41
      Mar 28, 2018 to Mar 19, 2019
    • Individual clients · 39 to 42
      Mar 28, 2018 to Mar 19, 2019
    • Assets in custody · $3.8M to $2.3M
      Mar 28, 2018 to Mar 19, 2019
    • Discretionary RAUM · $110M to $109M
      Mar 28, 2018 to Mar 19, 2019
    • HNW RAUM · $79.0M to $77.7M
      Mar 28, 2018 to Mar 19, 2019
    • Individual RAUM · $21.8M to $22.3M
      Mar 28, 2018 to Mar 19, 2019
    • RAUM · $110M to $109M
      Mar 28, 2018 to Mar 19, 2019
    • Accounts · 258 to 271
      Feb 12, 2018 to Mar 28, 2018
    • HNW clients · 35 to 40
      Feb 12, 2018 to Mar 28, 2018
    • Individual clients · 45 to 39
      Feb 12, 2018 to Mar 28, 2018
    • Assets in custody · unset to 3806572.0
      Feb 12, 2018 to Mar 28, 2018
    • Custody of client assets · false to true
      Feb 12, 2018 to Mar 28, 2018
    • Discretionary RAUM · $108M to $110M
      Feb 12, 2018 to Mar 28, 2018
    • HNW RAUM · $68.3M to $79.0M
      Feb 12, 2018 to Mar 28, 2018
    • Individual RAUM · $30.7M to $21.8M
      Feb 12, 2018 to Mar 28, 2018
    • RAUM · $108M to $110M
      Feb 12, 2018 to Mar 28, 2018
    Signals
    2 dated events
    • V•••••• M•••• K•••• left K•••••• K•••• A••••••• for P••• F•••••••• A•••••••• L•• (registered 2022-01-10)
      Jan 26, 2022 · Advisor changed firm · fact
    • K•••••• K•••• A••••••• filed its initial SEC registration (Form ADV)
      Jan 2, 2018 · First SEC registration · fact
    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