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Former SEC-registered adviser

K••••••• C••••• A•••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 159652SEC 801-72930IAPD
Latest filing Apr 3, 2018
First filing on the tape Nov 29, 2011 · 7 filings
RAUM
$405M
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
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$547M gross assets
History
7 filings and snapshots on the tape
RAUM$405M as of Apr 3, 2018
Mar 27, 2013$450M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 3, 2018
Mar 27, 20130 then
Employees (5.A)8 as of Apr 3, 2018
Mar 27, 20138 then
Private funds4 as of Apr 3, 2018
Mar 27, 20133 then
RAUM -25% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 3, 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
$81.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-25%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
yesreportedItem 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)
  • 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
  • Pooled investment vehicles$405M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K••••••• Q••••• F••• L••Hedge Fund$222M1Mar 31, 2017
      K••••••• C••••• G••••• C••••• O••••••••• M••••• F•••• L•••Hedge Fund$184M12Nov 29, 2011
      K••••••• C••••• G••••• C••••• O••••••••• F•••• L•••Hedge Fund$100M7Nov 29, 2011
      K••••••• C••••• G••••• C••••• O••••••••• F•••• L••Hedge Fund$41.1M4Nov 29, 2011
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• S•••••••• •••• · Chief Investment Officer/Limited Partnercontrol
        since 10/2011 · owns 50% to 75%
      • G••••• C•••• B•••• · Chief Financial Officer/Chief Compliance Officer/Limited Partnercontrol
        since 10/2011 · owns less than 5%
      • L••••• C••••• M•••••• · Analyst/Trader/Limited Partnercontrol
        since 10/2011 · owns 5% to 10%
      • D••••••••• S•••••••• •••• · Managing Membercontrol
        since 05/2011 · owns 75% or more of K••••••• C••••• G•••••• P•••••• L••
      Entity owners
      • K••••••• C••••• G•••••• P•••••• L•• · G•••••• Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • K••••••• C••••• G••••• C••••• O••••••••• F••• M• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Mar 31, 2017 to Apr 3, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 31, 2017 to Apr 3, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Apr 3, 2018
      • Discretionary RAUM · $539M to $405M
        Mar 31, 2017 to Apr 3, 2018
      • Pooled vehicle RAUM · unset to 405000000.0
        Mar 31, 2017 to Apr 3, 2018
      • RAUM · $539M to $405M
        Mar 31, 2017 to Apr 3, 2018
      • Accounts · 3 to 4
        Mar 30, 2016 to Mar 31, 2017
      • Private funds · 3 to 4
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $525M to $539M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $525M to $539M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 4
        Mar 20, 2015 to Mar 30, 2016
      • Employees · 9 to 8
        Mar 20, 2015 to Mar 30, 2016
      • Discretionary RAUM · $720M to $525M
        Mar 20, 2015 to Mar 30, 2016
      • RAUM · $720M to $525M
        Mar 20, 2015 to Mar 30, 2016
      • Discretionary RAUM · $563M to $720M
        Apr 4, 2014 to Mar 20, 2015
      • RAUM · $563M to $720M
        Apr 4, 2014 to Mar 20, 2015
      • Advisory employees · 4 to 5
        Mar 27, 2013 to Apr 4, 2014
      • Assets in custody · unset to 0.0
        Mar 27, 2013 to Apr 4, 2014
      • Custody of client assets · false to true
        Mar 27, 2013 to Apr 4, 2014
      • Employees · 8 to 9
        Mar 27, 2013 to Apr 4, 2014
      • Discretionary RAUM · $450M to $563M
        Mar 27, 2013 to Apr 4, 2014
      • RAUM · $450M to $563M
        Mar 27, 2013 to Apr 4, 2014
      • Advisory employees · unset to 4.0
        Nov 29, 2011 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Nov 29, 2011 to Mar 27, 2013
      • Employees · unset to 8.0
        Nov 29, 2011 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Nov 29, 2011 to Mar 27, 2013
      • Discretionary RAUM · $140M to $450M
        Nov 29, 2011 to Mar 27, 2013
      • RAUM · $140M to $450M
        Nov 29, 2011 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