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•••••• A•••••••
Legal name K•••••• F•••••••• S•••••••• L•
Latest filing Dec 20, 2018
First filing on the tape Dec 1, 2011 · 41 filings
RAUM
$414M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$407M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
10 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$414M as of Mar 29, 2018
May 2, 2012$175M then
HNW client RAUM: $225M
State-registered IARs (5.B.3)10 as of Mar 29, 2018
Feb 22, 20133 then
Employees (5.A)19 as of Mar 29, 2018
Feb 22, 201313 then
Private funds: no history
RAUM +26% over the last fiscal year+31% a year over threeIARs 4 to 10
Practice profile
derived from the filing of Dec 20, 2018; every figure names its basis
- RAUM per advisor
- $41.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $216,085derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 2.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +150%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $189M, 25 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
- High-net-worth individuals$225M54%
- Individuals$182M44%
- Corporations and businesses$3.9M0.9%
- Pension and profit-sharing plans$2.1M0.5%
- Charitable organizations$815,8330.2%
- Individual clients
- 732reported
- HNW clients
- 101reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 1,915reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $189M for 25 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
- T••••• A••••• K•••••• to C••••• P••••••• L••Apr 2, 2019 · RIA to RIA
- J•••••• C•••••• P••••••• to C••••• P••••••• L••Apr 2, 2019 · RIA to RIA
- M••• A•••• W•••••• to C••••• P••••••• L••Apr 2, 2019 · RIA to RIA
- N••••••• L• G••••• to C••••• P••••••• L••Apr 1, 2019 · RIA to RIA
- H••••• P••• H•••• to C••••• P••••••• L••Apr 1, 2019 · RIA to RIA
- T••••• H•••• R••••••••• to C••••• P••••••• L••Apr 1, 2019 · RIA to RIA
- J•••••• S•••• Z••• to C••••• P••••••• L••Apr 1, 2019 · RIA to RIA
- P•••• M••••• to C••••• P••••••• L••Apr 1, 2019 · RIA to RIA
- B•••• E• O••••• to J••••••• W••••• M•••••••••Oct 13, 2015 · Other
- M••••• B•••• W••••• to B••• I••••••••• S•••••••• I•••Sep 1, 2015 · Other
Joined, latest
- N••••••• L• G••••• from S•••••••• I••••••••• M•••••••••May 7, 2018 · Affiliated broker-dealer or bank to independent RIA
- T••••• H•••• R••••••••• from 1•• G••••• A••••••• I••Nov 2, 2017 · Other
- M••• A•••• W•••••• from A•••••• A••••••• S•••••••Sep 8, 2017 · Other
- J•••••• S•••• Z••• from T• A••••••••• I•••Feb 19, 2016 · Other
- B•••• E• O••••• from A••••• A•• P••••••• S•••••••Sep 25, 2014 · Other
- M••••• B•••• W••••• from A•••••• A••••••• S•••••••Jan 12, 2012 · Other
- J•••••• C•••••• P••••••• from C••••••• W••••• A•••••••• L••Jan 5, 2012 · Other
- T••••• A••••• K•••••• from C••••••• W••••• A•••••••• L••Jan 4, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for C••••• P••••••• L••Apr 1, 2019 · Fort Worth, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• T•••••• A••••• · President/Chief Compliance Officer/Managing Membercontrolsince 12/1995 · owns 75% or more
- P•••••••• J••••••• C•••••• · Managing Partnersince 07/2009 · owns 10% to 25%
Related persons
Schedule D 7.A
- B••••• I•••••••• A•••••• L••real estaten
- B•••••• I•••broker-dealern
- K•••••••••insurancen
- L•• O••••• O• J•••• B• J••••••• P•••n
- M••••• H•••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
- Denver, CO3 employees
- Louisville, CO3 employees
- Colleyville, TX1 employees
- Hurst, TX1 employees
What changed
consecutive filings, newest first
- Advisory employees · 11 to 10Aug 13, 2018 to Dec 20, 2018
- Employees · 20 to 19Aug 13, 2018 to Dec 20, 2018
- State-registered IARs · 11 to 10Aug 13, 2018 to Dec 20, 2018
- Other offices · 5 to 4Jun 8, 2018 to Aug 13, 2018
- Advisory employees · 10 to 11Apr 26, 2018 to May 7, 2018
- BD registered reps · 10 to 11Apr 26, 2018 to May 7, 2018
- Employees · 19 to 20Apr 26, 2018 to May 7, 2018
- State-registered IARs · 10 to 11Apr 26, 2018 to May 7, 2018
- Accounts · 1,738 to 1,915Mar 13, 2018 to Mar 29, 2018
- Advisory employees · 11 to 10Mar 13, 2018 to Mar 29, 2018
- Advisory activities · 2 to 3Mar 13, 2018 to Mar 29, 2018
- BD registered reps · 9 to 10Mar 13, 2018 to Mar 29, 2018
- Corporate clients · 4 to 10Mar 13, 2018 to Mar 29, 2018
- HNW clients · 41 to 101Mar 13, 2018 to Mar 29, 2018
- Individual clients · 1,691 to 732Mar 13, 2018 to Mar 29, 2018
- Pension plan clients · 0 to 1Mar 13, 2018 to Mar 29, 2018
- Assets in custody · $20.0M to $189MMar 13, 2018 to Mar 29, 2018
- Employees · 25 to 19Mar 13, 2018 to Mar 29, 2018
- State-registered IARs · 11 to 10Mar 13, 2018 to Mar 29, 2018
- Discretionary RAUM · $328M to $414MMar 13, 2018 to Mar 29, 2018
- HNW RAUM · $114M to $225MMar 13, 2018 to Mar 29, 2018
- Individual RAUM · $214M to $182MMar 13, 2018 to Mar 29, 2018
- Pension RAUM · $0 to $2.1MMar 13, 2018 to Mar 29, 2018
- RAUM · $328M to $414MMar 13, 2018 to Mar 29, 2018
- Related adviser · false to trueMar 13, 2018 to Mar 29, 2018
- Related broker-dealer · false to trueMar 13, 2018 to Mar 29, 2018
- Advisory employees · 9 to 10Oct 18, 2017 to Feb 8, 2018
- Employees · 23 to 24Oct 18, 2017 to Feb 8, 2018
- State-registered IARs · 6 to 10Oct 18, 2017 to Feb 8, 2018
- Advisory employees · 10 to 11Feb 8, 2018 to Feb 8, 2018
- Employees · 24 to 25Feb 8, 2018 to Feb 8, 2018
- State-registered IARs · 10 to 11Feb 8, 2018 to Feb 8, 2018
- Charity clients · unset to 2.0Sep 28, 2017 to Oct 18, 2017
- Corporate clients · unset to 4.0Sep 28, 2017 to Oct 18, 2017
- HNW clients · unset to 41.0Sep 28, 2017 to Oct 18, 2017
- Individual clients · unset to 1691.0Sep 28, 2017 to Oct 18, 2017
- Pension plan clients · unset to 0.0Sep 28, 2017 to Oct 18, 2017
- Pooled vehicle clients · unset to 0.0Sep 28, 2017 to Oct 18, 2017
- Other offices · unset to 4.0Sep 28, 2017 to Oct 18, 2017
- HNW RAUM · unset to 113701219.0Sep 28, 2017 to Oct 18, 2017
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