DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

K•• D••••••••• A•••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 155837SEC 801-72408IAPD

Latest filing Nov 11, 2021

First filing on the tape Mar 26, 2012 · 24 filings

RAUM

$8.9B

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

21 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$5.0B gross assets

History

24 filings and snapshots on the tape

RAUM$8.9B as of Mar 15, 2021

Mar 26, 2012$3.7B then

HNW client RAUM$0 as of Mar 15, 2021

Mar 28, 2018$0 then

State-registered IARs (5.B.3)0 as of Mar 15, 2021

Mar 28, 20130 then

Employees (5.A)41 as of Mar 15, 2021

Mar 28, 201343 then

Private funds5 as of Mar 15, 2021

Mar 26, 20122 then

RAUM -44% over the last fiscal year-4.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Nov 11, 2021; 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: $739MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.5%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: -44%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 vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody: $5.1B, 5 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$6.2B70%
Corporations and businesses$1.8B21%
Investment companies$685M7.7%
Insurance companies$131M1.5%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 12reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $5.1B for 5 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 departure Every arrival

Private funds

9 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
K•• D••••••••• M••••• F••• L•••	Hedge Fund	$4.9B	68	Mar 26, 2012
K•• F•••• P••••••••• F••• L•••no longer reported	Hedge Fund	$652M	1	Mar 26, 2012
K•• C••••• O••••••••• F••• L•	Hedge Fund	$72.7M	20	Jul 2, 2013
K•• S••••••••• I••••• F••• B• L•	Hedge Fund	$50.7M	15	Jun 30, 2020
K•• S••••••••• I••••• F••• A• L•	Hedge Fund	$42.5M	78	Jun 30, 2020
K•• S•••••• S••••••••• F••• A• L•no longer reported	Hedge Fund	$5.9M	43	Oct 26, 2018
D••••• R••• D••	Securitized Asset Fund	$1.4M	1	Mar 27, 2015
K•• M•••• R•••• M••••• F••• L•no longer reported	Hedge Fund	$1.0M	10	Nov 28, 2012
K•• S•••••• S••••••••• F••• B• L•no longer reported	Hedge Fund	$991,043	6	Oct 26, 2018

Owners and control persons

Schedule A and B, latest filing

K•••••••• J••••••• W•••••• · Co-Chief Investment Officercontrol
since 11/2007 · owns less than 5%
L••••••••• H••••• W•••••• · Co-Chief Investment Officercontrol
since 11/2007 · owns less than 5%
L•••••• B••••• E••• · Chief Operating Officer, Chief Financial Officer, Chief Compliance Officercontrol
since 06/2021 · owns less than 5%
S••••••••• J•••• •••• · Co-Chief Investment Officercontrol
since 11/2007 · owns less than 5%
K•••••••• J••••••• W•••••• · Membercontrol
since 11/2007 · owns 25% to 50% of K•• G• L••
L••••••••• H••••• W•••••• · Membercontrol
since 11/2007 · owns 25% to 50% of K•• G• L••
S••••••••• J•••• •••• · Membercontrol
since 11/2007 · owns 25% to 50% of K•• G• L••

Entity owners

K•• G• L•• · General Partner
direct · owns less than 5%
K•• P••••••• L•• · Limited Partner
direct · owns 75% or more
M•••••• L•••• • C•• I••• · Shareholder
indirect · owns 75% or more of M•••••• L•••• F••• I••••••••• I••• · public reporting company
M•••••• L•••• F••• I••••••••• I••• · Limited Partner
direct · owns 10% to 25%

Related persons

Schedule D 7.A

K•• D••••••••• F••• G• L••
pooled vehicle sponsorn
K•• D••••••••• G• H••••••• L••
pooled vehicle sponsorn
K•• D••••••••• M••••• F••• G• L•••
pooled vehicle sponsorn
K•• S••••••••• I••••• F••• G• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Private funds · 5 to 4
Apr 16, 2021 to Jun 9, 2021
Accounts · 14 to 12
Jun 30, 2020 to Mar 15, 2021
Advisory employees · 29 to 21
Jun 30, 2020 to Mar 15, 2021
Pooled vehicle clients · 8 to 6
Jun 30, 2020 to Mar 15, 2021
Assets in custody · $13B to $5.1B
Jun 30, 2020 to Mar 15, 2021
Employees · 54 to 41
Jun 30, 2020 to Mar 15, 2021
Private funds · 8 to 5
Jun 30, 2020 to Mar 15, 2021
Discretionary RAUM · $16B to $8.9B
Jun 30, 2020 to Mar 15, 2021
Pooled vehicle RAUM · $14B to $6.2B
Jun 30, 2020 to Mar 15, 2021
RAUM · $16B to $8.9B
Jun 30, 2020 to Mar 15, 2021
Private funds · 6 to 8
Mar 30, 2020 to Jun 30, 2020
Accounts · 13 to 14
Mar 29, 2019 to Mar 30, 2020
Assets in custody · $13B to $13B
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $17B to $16B
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $15B to $14B
Mar 29, 2019 to Mar 30, 2020
RAUM · $17B to $16B
Mar 29, 2019 to Mar 30, 2020
Accounts · 9 to 13
Oct 26, 2018 to Mar 29, 2019
Advisory employees · 27 to 29
Oct 26, 2018 to Mar 29, 2019
Corporate clients · unset to 2.0
Oct 26, 2018 to Mar 29, 2019
Pooled vehicle clients · 6 to 8
Oct 26, 2018 to Mar 29, 2019
Assets in custody · $7.9B to $13B
Oct 26, 2018 to Mar 29, 2019
Employees · 52 to 54
Oct 26, 2018 to Mar 29, 2019
Discretionary RAUM · $10B to $17B
Oct 26, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $8.9B to $15B
Oct 26, 2018 to Mar 29, 2019
RAUM · $10B to $17B
Oct 26, 2018 to Mar 29, 2019
Private funds · 4 to 6
Mar 28, 2018 to Oct 26, 2018
Assets in custody · $9.1B to $7.9B
Nov 3, 2017 to Mar 28, 2018
Employees · 53 to 52
Nov 3, 2017 to Mar 28, 2018
Discretionary RAUM · $11B to $10B
Nov 3, 2017 to Mar 28, 2018
Pooled vehicle RAUM · $9.7B to $8.9B
Nov 3, 2017 to Mar 28, 2018
RAUM · $11B to $10B
Nov 3, 2017 to Mar 28, 2018
Related bank · true to false
Nov 3, 2017 to Mar 28, 2018
Accounts · 12 to 9
Aug 16, 2017 to Nov 3, 2017
Pooled vehicle clients · unset to 6.0
Aug 16, 2017 to Nov 3, 2017
Assets in custody · $8.7B to $9.1B
Aug 16, 2017 to Nov 3, 2017
Employees · 54 to 53
Aug 16, 2017 to Nov 3, 2017
Other offices · unset to 0.0
Aug 16, 2017 to Nov 3, 2017
Discretionary RAUM · $11B to $11B
Aug 16, 2017 to Nov 3, 2017
HNW RAUM · unset to 0.0
Aug 16, 2017 to Nov 3, 2017
Individual RAUM · unset to 0.0
Aug 16, 2017 to Nov 3, 2017

Signals

4 dated events

David Joseph Schneider (Chief Compliance Officer) no longer on Schedule A of K•• D••••••••• A•••• M••••••••• L• (listed 2021-04-16, absent 2021-06-09)
Jun 9, 2021 · Control person left · inference
K•• D••••••••• A•••• M••••••••• L• reported RAUM $8.9B, down 44% from $15.9B (2020-06-30 to 2021-03-15)
Mar 15, 2021 · RAUM change · derived
Philip Michael Zarrilli (Chief Operating Officer) no longer on Schedule A of K•• D••••••••• A•••• M••••••••• L• (listed 2020-03-30, absent 2020-06-30)
Jun 30, 2020 · Control person left · inference
K•• D••••••••• A•••• M••••••••• L• reported RAUM $17.4B, up 73% from $10.1B (2018-10-26 to 2019-03-29)
Mar 29, 2019 · RAUM change · derived

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