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•••••• D••• A•••••••• L•••••

Former SEC-registered adviserNew York, New YorkCRD 157868SEC 801-73608IAPD
Latest filing Mar 29, 2018
First filing on the tape Feb 14, 2012 · 12 filings
RAUM
$311M
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
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$311M gross assets
History
12 filings and snapshots on the tape
RAUM$311M as of Mar 29, 2018
Apr 1, 2013$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Apr 1, 20130 then
Employees (5.A)12 as of Mar 29, 2018
Apr 1, 201313 then
Private funds2 as of Mar 29, 2018
Apr 1, 20135 then
RAUM +44% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$156MderivedRAUM 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
+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, hourly, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$311M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K••• F•• S••••• F••••••• L••Securitized Asset Fund$301M16Jul 17, 2017
      K•••••• 2••••• C•• L•••Securitized Asset Fund$10.8M2Feb 14, 2012
      K•••••• V•• C•• L•••no longer reportedSecuritized Asset Fund$010Feb 14, 2012
      K•••••• I• C•• L•••Securitized Asset Fund$00Feb 14, 2012
      K•••••• V••• C•• L•••no longer reportedSecuritized Asset Fund$06Feb 14, 2012
      K•••••• X• C•• L•••Securitized Asset Fund$00Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• R•••••• J••••••• · Cio Of K•••••• D••• Advisors, LLC And K••• Management, LLC (Relying Adviser)control
        since 07/2017 · owns less than 5%
      • G•••••••• D•••••• P•••••• · Cco, Vp And Director Of Registrant And Of K•••••• X Management LLC And K•••••• 2007-1 Management LLC (Relying Advisers)control
        since 01/2016 · owns less than 5%
      • G•••••• E•••••• U•••• · Cfo Of K•••••• D••• A•••••••• L••••• And Of K•••••• X Management LLC And K•••••• 2007-1 Management LLC (Relying Advisers)control
        since 12/2012 · owns less than 5%
      • M••••••••• D•••••••• J••••• · President Of K•••••• D••• Advisors, LLC And Of K•••••• X Management LLC And K•••••• 2007-1 Management LLC (Relying Advisers)control
        since 12/2012 · owns less than 5%
      • P••••••• D•••• W••• · Vp Of K•••••• D••• Advisors, LLC And Of K•••••• X Management LLC And K•••••• 2007-1 Management LLC (Relying Advisers)control
        since 12/2012 · owns less than 5%
      • O••••••• J••••• J••••• · Vp Of K•••••• D••• Advisors, LLC And Of K•••••• X Management LLC And K•••••• 2007-1 Management LLC (Relying Advisers)
        since 03/2015 · owns less than 5%
      Entity owners
      • K•••••• M••••••••• H•••••••• L•• · Direct Owner Of K•••••• X Management LLC And K•••••• 2007-1 Management LLC, (Relying Advisers)
        direct · owns 75% or more
      • K••• F••••••••• I••• · Direct Owner And Sole Member Of K•••••• D••• Advisors, LLC And K•••••• M••••••••• H•••••••• L••
        direct · owns 75% or more · public reporting company
      • K••• F••••••••• I••• · Direct Owner
        indirect · owns 75% or more of K•••••• M••••••••• H•••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list K•••••• D••• A•••••••• L••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Jul 17, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Jul 17, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 17, 2017 to Mar 29, 2018
      • Private funds · 4 to 2
        Jul 17, 2017 to Mar 29, 2018
      • Discretionary RAUM · $216M to $311M
        Jul 17, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 311290783.0
        Jul 17, 2017 to Mar 29, 2018
      • RAUM · $216M to $311M
        Jul 17, 2017 to Mar 29, 2018
      • Private funds · 3 to 4
        Mar 30, 2017 to Jul 17, 2017
      • Private funds · 5 to 3
        Jun 16, 2016 to Mar 30, 2017
      • Discretionary RAUM · $247M to $216M
        Jun 16, 2016 to Mar 30, 2017
      • RAUM · $247M to $216M
        Jun 16, 2016 to Mar 30, 2017
      • Accounts · 3 to 1
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $712M to $247M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $712M to $247M
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 5 to 3
        Apr 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.4B to $712M
        Apr 30, 2014 to Mar 31, 2015
      • RAUM · $1.4B to $712M
        Apr 30, 2014 to Mar 31, 2015
      • Advisory employees · 9 to 8
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 13 to 12
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.9B to $1.4B
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $1.9B to $1.4B
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 6 to 9
        Feb 14, 2013 to Apr 1, 2013
      • Discretionary RAUM · $1.9B to $1.9B
        Feb 14, 2013 to Apr 1, 2013
      • RAUM · $1.9B to $1.9B
        Feb 14, 2013 to Apr 1, 2013
      • Advisory employees · unset to 6.0
        Mar 29, 2012 to Feb 14, 2013
      • BD registered reps · unset to 0.0
        Mar 29, 2012 to Feb 14, 2013
      • Employees · unset to 13.0
        Mar 29, 2012 to Feb 14, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Feb 14, 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