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•• C•••••• M••••••••• L••
Latest filing Aug 24, 2012
First filing on the tape Feb 6, 2012 · 7 filings
RAUM
$167M
reported, Item 5.F
Discretionary
100%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$180M gross assets
History
7 filings and snapshots on the tape
RAUM$167M as of Aug 24, 2012
Feb 6, 2012$60.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds4 as of Aug 24, 2012
Feb 6, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 24, 2012; 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
- $27.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $167M, 6 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
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
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $167M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••••• C•••••• F•••• L• | Hedge Fund | $726,842 | 1 | Aug 24, 2012 |
| K•• C•••••• P••••••• V•••• F•••• L• | Hedge Fund | $480,704 | 1 | Feb 6, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• T••••••• J•••• · Chief Compliance Officer/Chief Operating Officer/Chief Financial Officercontrolsince 06/2012 · owns less than 5%
- O•••••••• D••••• W•••••• · Portfolio Managercontrolsince 05/2008 · owns less than 5%
- O•••••••• K•••••• V• · Managing Membercontrolsince 05/2008 · owns 75% or more
- P•••••• B•••••• S••••• · Chief Executive Officer/Presidentcontrolsince 06/2012 · owns less than 5%
- T••••• M••••••• H••••• · Portfolio Managercontrolsince 05/2008 · owns less than 5%
Related persons
Schedule D 7.A
- K•• P•••••••• L••investment adviserpooled vehicle sponsorn
- K•• T•••••• P•••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 3 to 6May 10, 2012 to Aug 24, 2012
- Advisory activities · 2 to 1May 10, 2012 to Aug 24, 2012
- Assets in custody · $53.0M to $167MMay 10, 2012 to Aug 24, 2012
- HQ city · HANOVER to NEW YORKMay 10, 2012 to Aug 24, 2012
- HQ state · NH to NYMay 10, 2012 to Aug 24, 2012
- Private funds · 3 to 4May 10, 2012 to Aug 24, 2012
- Discretionary RAUM · $60.0M to $167MMay 10, 2012 to Aug 24, 2012
- RAUM · $60.0M to $167MMay 10, 2012 to Aug 24, 2012
- Related adviser · false to trueMay 10, 2012 to Aug 24, 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