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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

K••••••• C•••••• M••••••••• L••

Former SEC-registered adviserDallas, TexasCRD 147726SEC 801-74985IAPD
Latest filing Oct 24, 2017
First filing on the tape Mar 27, 2012 · 19 filings
RAUM
$27.0M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$27.0M gross assets
History
19 filings and snapshots on the tape
RAUM$17.7M as of Mar 31, 2017
Mar 25, 2013$163M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2017
Mar 25, 20131 then
Employees (5.A)1 as of Mar 31, 2017
Mar 25, 20134 then
Private funds3 as of Mar 31, 2017
Mar 25, 20132 then
RAUM -50% over the last fiscal year-52% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 24, 2017; every figure names its basis
RAUM per advisor
$27.0MderivedRAUM 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
$6.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-67%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • 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
  • Pooled investment vehicles$27.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K••••••• R••• E••••• O••••••••• H•••• F•••• L•Hedge Fund$19.8M19Mar 27, 2012
      K••••••• C••••••••• R••• E••••• O••••••••• F•••• L•Hedge Fund$9.8M7Mar 31, 2017
      K••••••• R••• E••••• O••••••• O••••••••• T•••••• F•••• L•Hedge Fund$00Sep 14, 2012
      K••••••• R••• E••••• O••••••• O••••••••• H•••• F•••• L•••no longer reportedHedge Fund$00Sep 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• R•••••• B•••• · Managing Member And Chief Compliance Officercontrol
        since 10/2008 · owns 75% or more
      Related persons
      Schedule D 7.A
      • K••••••• C•••• G•• L•
        pooled vehicle sponsorn
      • K••••••• G•• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Jun 23, 2017 to Oct 24, 2017
      • Pooled vehicle clients · unset to 4.0
        Jun 23, 2017 to Oct 24, 2017
      • Other offices · unset to 0.0
        Jun 23, 2017 to Oct 24, 2017
      • Discretionary RAUM · $27.3M to $27.0M
        Jun 23, 2017 to Oct 24, 2017
      • Pooled vehicle RAUM · unset to 27019273.0
        Jun 23, 2017 to Oct 24, 2017
      • RAUM · $27.3M to $27.0M
        Jun 23, 2017 to Oct 24, 2017
      • Employees · 1 to 2
        Mar 31, 2017 to Jun 23, 2017
      • Discretionary RAUM · $17.7M to $27.3M
        Mar 31, 2017 to Jun 23, 2017
      • RAUM · $17.7M to $27.3M
        Mar 31, 2017 to Jun 23, 2017
      • Accounts · 4 to 3
        May 23, 2016 to Mar 31, 2017
      • Employees · 2 to 1
        May 23, 2016 to Mar 31, 2017
      • Private funds · 2 to 3
        May 23, 2016 to Mar 31, 2017
      • Discretionary RAUM · $44.0M to $17.7M
        May 23, 2016 to Mar 31, 2017
      • RAUM · $44.0M to $17.7M
        May 23, 2016 to Mar 31, 2017
      • Accounts · 5 to 4
        May 4, 2016 to May 23, 2016
      • Discretionary RAUM · $73.0M to $44.0M
        May 4, 2016 to May 23, 2016
      • RAUM · $73.0M to $44.0M
        May 4, 2016 to May 23, 2016
      • Discretionary RAUM · $53.7M to $73.0M
        Mar 28, 2016 to May 4, 2016
      • RAUM · $53.7M to $73.0M
        Mar 28, 2016 to May 4, 2016
      • Advisory employees · 2 to 1
        Oct 5, 2015 to Mar 28, 2016
      • Advisory activities · 3 to 2
        Oct 5, 2015 to Mar 28, 2016
      • Employees · 4 to 2
        Oct 5, 2015 to Mar 28, 2016
      • Discretionary RAUM · $129M to $53.7M
        Oct 5, 2015 to Mar 28, 2016
      • RAUM · $129M to $53.7M
        Oct 5, 2015 to Mar 28, 2016
      • Discretionary RAUM · $83.5M to $129M
        Mar 31, 2015 to May 1, 2015
      • RAUM · $83.5M to $129M
        Mar 31, 2015 to May 1, 2015
      • Discretionary RAUM · $245M to $83.5M
        Jun 4, 2014 to Mar 31, 2015
      • RAUM · $245M to $83.5M
        Jun 4, 2014 to Mar 31, 2015
      • Accounts · 7 to 5
        May 8, 2013 to Mar 14, 2014
      • Financial planning clients · unset to 0
        May 8, 2013 to Mar 14, 2014
      • Discretionary RAUM · $163M to $245M
        May 8, 2013 to Mar 14, 2014
      • RAUM · $163M to $245M
        May 8, 2013 to Mar 14, 2014
      • Accounts · 6 to 7
        Sep 14, 2012 to Mar 25, 2013
      • Advisory employees · unset to 2.0
        Sep 14, 2012 to Mar 25, 2013
      • Employees · unset to 4.0
        Sep 14, 2012 to Mar 25, 2013
      • State-registered IARs · 0 to 1
        Sep 14, 2012 to Mar 25, 2013
      • Private funds · 3 to 2
        Sep 14, 2012 to Mar 25, 2013
      • Discretionary RAUM · $59.4M to $163M
        Sep 14, 2012 to Mar 25, 2013
      • RAUM · $59.4M to $163M
        Sep 14, 2012 to Mar 25, 2013
      • Private funds · 1 to 3
        Aug 14, 2012 to Sep 14, 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