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••••••••• G••••• L••

Former SEC-registered adviserCRD 148217SEC 801-69568IAPD
Latest filing Jun 17, 2015
First filing on the tape Mar 26, 2012 · 13 filings
RAUM
$42.0M
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$1.4M gross assets
History
13 filings and snapshots on the tape
RAUM$38.8M as of Mar 7, 2014
Mar 26, 2012$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2014
Mar 22, 20130 then
Employees (5.A)4 as of Mar 7, 2014
Mar 22, 20135 then
Private funds1 as of Mar 7, 2014
Mar 26, 20121 then
RAUM -61% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Jun 17, 2015; every figure names its basis
RAUM per advisor
$42.0MderivedRAUM 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
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-64%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 institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.4M, 1 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)
  • 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
29reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.4M for 1 clientsreported
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
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
R••••• P••••••• I•Venture Capital Fund$1.4M20Mar 26, 2012
Owners and control persons
Schedule A and B, latest filing
  • K••••••• I•••••• P••••• · Managing Director & Ceocontrol
    since 11/1999 · owns 75% or more
  • S••••••••• M••••••• A••••• · Chief Compliance Officer
    since 09/2014 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HQ city · MINNEAPOLIS to unset
    Sep 24, 2014 to Mar 19, 2015
  • HQ state · MN to unset
    Sep 24, 2014 to Mar 19, 2015
  • Discretionary RAUM · $38.8M to $42.0M
    Sep 24, 2014 to Mar 19, 2015
  • RAUM · $38.8M to $42.0M
    Sep 24, 2014 to Mar 19, 2015
  • Advisory employees · 2 to 1
    Apr 7, 2014 to Sep 24, 2014
  • Employees · 4 to 3
    Apr 7, 2014 to Sep 24, 2014
  • State-registered IARs · 0 to 1
    Apr 7, 2014 to Sep 24, 2014
  • Accounts · 34 to 29
    Nov 29, 2013 to Mar 7, 2014
  • Employees · 5 to 4
    Nov 29, 2013 to Mar 7, 2014
  • Discretionary RAUM · $107M to $38.8M
    Nov 29, 2013 to Mar 7, 2014
  • RAUM · $107M to $38.8M
    Nov 29, 2013 to Mar 7, 2014
  • Accounts · 37 to 34
    Mar 26, 2012 to Mar 22, 2013
  • Advisory employees · unset to 2.0
    Mar 26, 2012 to Mar 22, 2013
  • Assets in custody · $100,000 to $1.4M
    Mar 26, 2012 to Mar 22, 2013
  • Custody of client assets · false to true
    Mar 26, 2012 to Mar 22, 2013
  • Employees · unset to 5.0
    Mar 26, 2012 to Mar 22, 2013
  • State-registered IARs · unset to 0.0
    Mar 26, 2012 to Mar 22, 2013
  • Discretionary RAUM · $105M to $107M
    Mar 26, 2012 to Mar 22, 2013
  • RAUM · $105M to $107M
    Mar 26, 2012 to Mar 22, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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