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••••• P•••••••• I••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 150327SEC 801-70238IAPD

Latest filing Mar 30, 2015

First filing on the tape Mar 30, 2012 · 9 filings

RAUM

$33.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$7.5M gross assets

History

9 filings and snapshots on the tape

RAUM$33.4M as of Mar 30, 2015

Mar 30, 2012$171M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2015

Mar 28, 20130 then

Employees (5.A)7 as of Mar 30, 2015

Mar 28, 201328 then

Private funds1 as of Mar 30, 2015

Mar 30, 20121 then

RAUM -60% over the last fiscal year-42% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2015; 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: $11.1MderivedRAUM 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: -60%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, fixed feesreportedItem 5.E
Advisory activities: selection of other advisersreportedItem 5.G
Custody: $33.4M, 3 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)
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)

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: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $33.4M for 3 clientsreported
Compensation: % of AUM, fixedreported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••••• J••••• A• · Presidentcontrol
since 03/2014 · owns less than 5%
S•••••• K••••••• A••••• · Chairman & Chief Investment Officercontrol
since 03/2014 · owns less than 5%
S••••• D••••• K••••• · Chief Operating Officer & Chief Compliance Officercontrol
since 03/2014 · owns less than 5%

Entity owners

K••••• O••••••• L•• · Owner
direct · owns 75% or more
C••••• I••• · Member
indirect · owns 75% or more of K••••• O••••••• L••

Related persons

Schedule D 7.A

C•••••• M•••••• A•••••• • A•••••••• P•••••••• L••
investment adviserbankpooled vehicle sponsornRAUM $168M
K••••• G••••• I••••••••• M••••••••• L•••••
investment adviserbanknRAUM $140M
K••••• S••••••••• L••
broker-dealern
O•••••• C•••••• G•••••• S•••
investment advisern
O•••••• C•••••• M••••••••• S•••
investment adviserbanknRAUM $589M

Advisers that list K••••• P•••••••• I••••••••• L•• as a related person

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 6 to 5
Apr 3, 2014 to Mar 30, 2015
BD registered reps · 6 to 1
Apr 3, 2014 to Mar 30, 2015
Business name · K••••• P•••••••• I••••••••• L••• to K••••• P•••••••• I••••••••• L••
Apr 3, 2014 to Mar 30, 2015
Assets in custody · $84.2M to $33.4M
Apr 3, 2014 to Mar 30, 2015
Employees · 14 to 7
Apr 3, 2014 to Mar 30, 2015
Legal name · K••••• P•••••••• I••••••••• L••• to K••••• P•••••••• I••••••••• L••
Apr 3, 2014 to Mar 30, 2015
Discretionary RAUM · $84.2M to $33.4M
Apr 3, 2014 to Mar 30, 2015
RAUM · $84.2M to $33.4M
Apr 3, 2014 to Mar 30, 2015
Accounts · 2 to 3
Oct 29, 2013 to Apr 3, 2014
Advisory employees · 10 to 6
Oct 29, 2013 to Apr 3, 2014
BD registered reps · 12 to 6
Oct 29, 2013 to Apr 3, 2014
Assets in custody · unset to 84171273.0
Oct 29, 2013 to Apr 3, 2014
Custody of client assets · false to true
Oct 29, 2013 to Apr 3, 2014
Employees · 31 to 14
Oct 29, 2013 to Apr 3, 2014
HQ city · RYE BROOK to NEW YORK
Oct 29, 2013 to Apr 3, 2014
Organization form · Limited Partnership to Limited Liability Company
Oct 29, 2013 to Apr 3, 2014
Discretionary RAUM · $23.1M to $84.2M
Oct 29, 2013 to Apr 3, 2014
Non-discretionary RAUM · $16.4M to $0
Oct 29, 2013 to Apr 3, 2014
RAUM · $39.5M to $84.2M
Oct 29, 2013 to Apr 3, 2014
Succession · false to true
Oct 29, 2013 to Apr 3, 2014
Employees · 28 to 31
Mar 28, 2013 to Apr 30, 2013
Discretionary RAUM · $27.9M to $23.1M
Mar 28, 2013 to Apr 30, 2013
Non-discretionary RAUM · $16.2M to $16.4M
Mar 28, 2013 to Apr 30, 2013
RAUM · $44.1M to $39.5M
Mar 28, 2013 to Apr 30, 2013
Advisory employees · unset to 10.0
Aug 30, 2012 to Mar 28, 2013
BD registered reps · unset to 12.0
Aug 30, 2012 to Mar 28, 2013
Business name · K••••• P•••••••• I••••••••• C•••• to K••••• P•••••••• I••••••••• L•••
Aug 30, 2012 to Mar 28, 2013
Employees · unset to 28.0
Aug 30, 2012 to Mar 28, 2013
State-registered IARs · unset to 0.0
Aug 30, 2012 to Mar 28, 2013
Discretionary RAUM · $37.8M to $27.9M
Aug 30, 2012 to Mar 28, 2013
Non-discretionary RAUM · $113M to $16.2M
Aug 30, 2012 to Mar 28, 2013
RAUM · $151M to $44.1M
Aug 30, 2012 to Mar 28, 2013
Legal name · K••••• P•••••••• I••••••••• C•••• to K••••• P•••••••• I••••••••• L•••
Jul 31, 2012 to Aug 30, 2012
Succession · true to false
Jul 31, 2012 to Aug 30, 2012
Organization form · Corporation to Limited Partnership
Mar 30, 2012 to Jul 31, 2012
Discretionary RAUM · $31.5M to $37.8M
Mar 30, 2012 to Jul 31, 2012
Non-discretionary RAUM · $140M to $113M
Mar 30, 2012 to Jul 31, 2012
RAUM · $171M to $151M
Mar 30, 2012 to Jul 31, 2012
Related bank · false to true
Mar 30, 2012 to Jul 31, 2012
Succession · false to true
Mar 30, 2012 to Jul 31, 2012

Signals

1 dated events

K••••• P•••••••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Mar 30, 2015 · Succession (Item 4) · 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