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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SEC-registered adviser
F•• R•• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Sep 30, 2015 · 16 filings
SEC status approved since Oct 22, 2015
RAUM
$696M
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
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$696M as of Mar 19, 2026
Mar 30, 2016$214M then
HNW client RAUM$0 as of Mar 19, 2026
Mar 9, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 30, 20162 then
Employees (5.A)9 as of Mar 19, 2026
Mar 30, 20164 then
Private funds1 as of Mar 19, 2026
Mar 30, 20161 then
RAUM +1.3% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; 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
- $348MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.3%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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
- Pooled investment vehicles$696M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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 |
|---|---|---|---|---|
| W•••••• C•••••• S••••• F••• L•• • S••••• S•no longer reported | Hedge Fund | $131M | 1 | Sep 30, 2015 |
| F•• R•• A•••• F••• L• | Hedge Fund | $101M | 11 | Sep 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- K••••• A•••••• P•••• · Managing Member, Ceo And Ccocontrolsince 11/1997 · owns 75% or more
- K••••• S•••••• · Chief Investment Officersince 01/2018 · owns less than 5%
Related persons
Schedule D 7.A
- F•• R•• G• S•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Mar 14, 2025 to Mar 19, 2026
- Employees · 8 to 9Mar 14, 2025 to Mar 19, 2026
- Discretionary RAUM · $687M to $696MMar 14, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $687M to $696MMar 14, 2025 to Mar 19, 2026
- RAUM · $687M to $696MMar 14, 2025 to Mar 19, 2026
- Advisory employees · 5 to 6Jan 23, 2025 to Mar 14, 2025
- Employees · 7 to 8Jan 23, 2025 to Mar 14, 2025
- Financial planning clients · 0 to 0Jan 23, 2025 to Mar 14, 2025
- Discretionary RAUM · $504M to $687MJan 23, 2025 to Mar 14, 2025
- Pooled vehicle RAUM · $504M to $687MJan 23, 2025 to Mar 14, 2025
- RAUM · $504M to $687MJan 23, 2025 to Mar 14, 2025
- RAUM · $352M to $504MMay 18, 2023 to Mar 22, 2024
- Discretionary RAUM · $352M to $504MMay 18, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $352M to $504MMay 18, 2023 to Mar 22, 2024
- Advisory employees · 4 to 5Mar 9, 2022 to Mar 6, 2023
- Employees · 6 to 7Mar 9, 2022 to Mar 6, 2023
- Discretionary RAUM · $255M to $352MMar 9, 2022 to Mar 6, 2023
- Pooled vehicle RAUM · $255M to $352MMar 9, 2022 to Mar 6, 2023
- RAUM · $255M to $352MMar 9, 2022 to Mar 6, 2023
- Employees · 5 to 6Mar 3, 2021 to Mar 9, 2022
- Discretionary RAUM · $134M to $255MMar 3, 2021 to Mar 9, 2022
- Pooled vehicle RAUM · $134M to $255MMar 3, 2021 to Mar 9, 2022
- RAUM · $134M to $255MMar 3, 2021 to Mar 9, 2022
- Discretionary RAUM · $191M to $134MMar 20, 2020 to Mar 3, 2021
- Pooled vehicle RAUM · $191M to $134MMar 20, 2020 to Mar 3, 2021
- RAUM · $191M to $134MMar 20, 2020 to Mar 3, 2021
- Other offices · 1 to 0Mar 19, 2019 to Mar 20, 2020
- Discretionary RAUM · $228M to $191MMar 19, 2019 to Mar 20, 2020
- Pooled vehicle RAUM · $228M to $191MMar 19, 2019 to Mar 20, 2020
- RAUM · $228M to $191MMar 19, 2019 to Mar 20, 2020
- Discretionary RAUM · $396M to $228MMar 9, 2018 to Mar 19, 2019
- Pooled vehicle RAUM · $396M to $228MMar 9, 2018 to Mar 19, 2019
- RAUM · $396M to $228MMar 9, 2018 to Mar 19, 2019
- Advisory employees · 5 to 4Jun 9, 2017 to Mar 9, 2018
- Charity clients · unset to 0.0Jun 9, 2017 to Mar 9, 2018
- Corporate clients · unset to 0.0Jun 9, 2017 to Mar 9, 2018
- HNW clients · unset to 0.0Jun 9, 2017 to Mar 9, 2018
- Individual clients · unset to 0.0Jun 9, 2017 to Mar 9, 2018
- Pension plan clients · unset to 0.0Jun 9, 2017 to Mar 9, 2018
- Pooled vehicle clients · unset to 2.0Jun 9, 2017 to Mar 9, 2018
Signals
6 dated events
- F•• R•• M••••••••• L•• reported RAUM $686.7M, up 36% from $504.4M (2025-01-23 to 2025-03-14)Mar 14, 2025 · RAUM change · derived
- F•• R•• M••••••••• L•• reported RAUM $504.4M, up 43% from $352.0M (2023-05-18 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- F•• R•• M••••••••• L•• reported RAUM $254.6M, up 89% from $134.5M (2021-03-03 to 2022-03-09)Mar 9, 2022 · RAUM change · derived
- F•• R•• M••••••••• L•• reported RAUM $228.4M, down 42% from $396.1M (2018-03-09 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- F•• R•• M••••••••• L•• reported RAUM $396.1M, up 63% from $242.4M (2017-06-09 to 2018-03-09)Mar 9, 2018 · RAUM change · derived
- F•• R•• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 30, 2015 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 203-629-1729reportedpublic record, Form ADV, Mar 19, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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