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

N••• C•••••• M••••••••• L••

Former SEC-registered adviserPrinceton, New JerseyCRD 151912SEC 801-70780IAPD
Latest filing Mar 30, 2018
First filing on the tape Mar 31, 2012 · 8 filings
RAUM
$43.2M
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
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$28.8M gross assets
History
8 filings and snapshots on the tape
RAUM$43.2M as of Mar 30, 2018
Mar 31, 2012$13.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2018
Apr 1, 20131 then
Employees (5.A)2 as of Mar 30, 2018
Apr 1, 20133 then
Private funds1 as of Mar 30, 2018
Mar 31, 20121 then
RAUM +135% over the last fiscal year+7.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
$43.2MderivedRAUM 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
$21.6MderivedRAUM 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
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+135%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 pooled vehicles, portfolio management for investment companiesreportedItem 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
  • 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 securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$28.8M67%
  • Investment companies$14.4M33%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••• G••••• F••••••• F••• L••Hedge Fund$28.8M3Nov 23, 2013
      N••• A••••• F••••••• F•••no longer reportedHedge Fund$30,0001Mar 31, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• Y•••• · Chief Compliance Officercontrol
        since 06/2009 · owns less than 5%
      • S•••••• L•••• · Managing Principalcontrol
        since 04/2004 · owns 50% to 75%
      • A••••••• A••••••• F•••••• · Founder; Chief Investment Officercontrol
        since 10/2010 · owns 50% to 75% of K••••• C•••••• M••••••••• L••
      • Z••••••• J•••• J•••• · Member / Ownercontrol
        since 09/2011 · owns 75% or more of K•••• G•••• V•• L••
      Entity owners
      • K••••• C•••••• M••••••••• L•• · Member
        direct · owns 25% to 50%
      • K•••• G•••• V•• L•• · Member
        indirect · owns 25% to 50% of K••••• C•••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY2 employees
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Mar 30, 2018
      • Assets in custody · $1.6M to $27.1M
        Mar 30, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 30, 2018
      • Discretionary RAUM · $18.4M to $43.2M
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 28810000.0
        Mar 30, 2017 to Mar 30, 2018
      • RAUM · $18.4M to $43.2M
        Mar 30, 2017 to Mar 30, 2018
      • Related adviser · false to true
        Mar 30, 2017 to Mar 30, 2018
      • Employees · 3 to 2
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $20.0M to $18.4M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $20.0M to $18.4M
        Mar 30, 2016 to Mar 30, 2017
      • Accounts · 3 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $35.0M to $20.0M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $35.0M to $20.0M
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $2.0M to $1.6M
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $46.0M to $35.0M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $46.0M to $35.0M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 2 to 3
        Nov 23, 2013 to Mar 31, 2014
      • Assets in custody · unset to 2000000.0
        Nov 23, 2013 to Mar 31, 2014
      • Discretionary RAUM · $40.4M to $46.0M
        Nov 23, 2013 to Mar 31, 2014
      • RAUM · $40.4M to $46.0M
        Nov 23, 2013 to Mar 31, 2014
      • Accounts · 1 to 2
        Apr 1, 2013 to Nov 23, 2013
      • Advisory activities · 1 to 2
        Apr 1, 2013 to Nov 23, 2013
      • Private funds · unset to 1
        Apr 1, 2013 to Nov 23, 2013
      • Discretionary RAUM · $26.9M to $40.4M
        Apr 1, 2013 to Nov 23, 2013
      • RAUM · $26.9M to $40.4M
        Apr 1, 2013 to Nov 23, 2013
      • Accounts · 2 to 1
        Mar 31, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Mar 31, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 31, 2012 to Apr 1, 2013
      • Employees · unset to 3.0
        Mar 31, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 1.0
        Mar 31, 2012 to Apr 1, 2013
      • Private funds · 1 to unset
        Mar 31, 2012 to Apr 1, 2013
      • Discretionary RAUM · $13.7M to $26.9M
        Mar 31, 2012 to Apr 1, 2013
      • RAUM · $13.7M to $26.9M
        Mar 31, 2012 to Apr 1, 2013
      • Related adviser · true to false
        Mar 31, 2012 to Apr 1, 2013
      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