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•••••• R•••• C••••••• L••

Former SEC-registered adviserWhite Plains, New YorkCRD 155057SEC 801-73447IAPD
Latest filing Mar 30, 2017
First filing on the tape Feb 13, 2012 · 6 filings
RAUM
$278M
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$533M gross assets
History
6 filings and snapshots on the tape
RAUM$278M as of Mar 30, 2017
Mar 27, 2013$259M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 27, 20130 then
Employees (5.A)7 as of Mar 30, 2017
Mar 27, 20138 then
Private funds3 as of Mar 30, 2017
Mar 27, 20133 then
RAUM -4.1% over the last fiscal year-9.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$69.5MderivedRAUM 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
-4.1%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
$277M, 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)
  • 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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$277M for 3 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K•••••• R•••• C•••••• M••••• F•••• L•••Hedge Fund$277M9Feb 13, 2012
      K•••••• R•••• C•••••• F•••• L••Hedge Fund$227M4Feb 13, 2012
      K•••••• R•••• C•••••• P•••••••• L•Hedge Fund$29.3M5Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• M••••••• J••• · Chief Financial Officer / Chief Compliance Officercontrol
        since 03/2008 · owns less than 5%
      • T••••• B••••• D••••• · Principalcontrol
        since 03/2008 · owns 10% to 25%
      • Z•••• C••••••••• F•••••• · Managing Principalcontrol
        since 03/2008 · owns 75% or more
      Related persons
      Schedule D 7.A
      • K•••••• R•••• C•••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $289M to $277M
        Mar 21, 2016 to Mar 30, 2017
      • Discretionary RAUM · $290M to $278M
        Mar 21, 2016 to Mar 30, 2017
      • RAUM · $290M to $278M
        Mar 21, 2016 to Mar 30, 2017
      • Advisory employees · 5 to 6
        Mar 30, 2015 to Mar 21, 2016
      • Assets in custody · $225M to $289M
        Mar 30, 2015 to Mar 21, 2016
      • Discretionary RAUM · $225M to $290M
        Mar 30, 2015 to Mar 21, 2016
      • RAUM · $225M to $290M
        Mar 30, 2015 to Mar 21, 2016
      • Accounts · 3 to 4
        Mar 26, 2014 to Mar 30, 2015
      • Assets in custody · $0 to $225M
        Mar 26, 2014 to Mar 30, 2015
      • Custody of client assets · false to true
        Mar 26, 2014 to Mar 30, 2015
      • Discretionary RAUM · $371M to $225M
        Mar 26, 2014 to Mar 30, 2015
      • RAUM · $371M to $225M
        Mar 26, 2014 to Mar 30, 2015
      • Advisory employees · 6 to 5
        Mar 27, 2013 to Mar 26, 2014
      • Employees · 8 to 7
        Mar 27, 2013 to Mar 26, 2014
      • Discretionary RAUM · $259M to $371M
        Mar 27, 2013 to Mar 26, 2014
      • RAUM · $259M to $371M
        Mar 27, 2013 to Mar 26, 2014
      • Advisory employees · unset to 6.0
        Feb 13, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Mar 27, 2013
      • Employees · unset to 8.0
        Feb 13, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Mar 27, 2013
      • Discretionary RAUM · $329M to $259M
        Feb 13, 2012 to Mar 27, 2013
      • RAUM · $329M to $259M
        Feb 13, 2012 to Mar 27, 2013
      • Related adviser · false to true
        Feb 13, 2012 to Mar 27, 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