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•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160167SEC 801-73798IAPD
Latest filing Mar 29, 2020
First filing on the tape Feb 14, 2012 · 15 filings
RAUM
$186M
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
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$186M gross assets
History
15 filings and snapshots on the tape
RAUM$186M as of Mar 29, 2020
Mar 28, 2013$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2020
Mar 28, 20130 then
Employees (5.A)5 as of Mar 29, 2020
Mar 28, 201320 then
Private funds3 as of Mar 29, 2020
Mar 28, 20135 then
RAUM -20% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2020; 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
$23.3MderivedRAUM 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
-20%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$170M, 8 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)
  • 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$186M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$170M for 8 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K•••••• L•• H••••••• L••Hedge Fund$111M10Feb 14, 2012
      K•••••• P•• H••••••• L•no longer reportedPrivate Equity Fund$52.7M5Mar 28, 2013
      K•••••• C•• H••••••• L•Private Equity Fund$16.8M26Mar 28, 2013
      K•••••• S•• • D••• O••••••••• F•••no longer reportedPrivate Equity Fund$6.0M9Feb 14, 2012
      K•••••• D••• O••••••••• F••• I•• L•••Private Equity Fund$30,29211Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• R•••••• •••• · Chief Compliance Officer And Managing Directorcontrol
        since 12/2001 · owns 75% or more
      Related persons
      Schedule D 7.A
      • K•••••• G• I• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $214M to $170M
        May 29, 2019 to Mar 29, 2020
      • Discretionary RAUM · $232M to $186M
        May 29, 2019 to Mar 29, 2020
      • Pooled vehicle RAUM · $232M to $186M
        May 29, 2019 to Mar 29, 2020
      • RAUM · $232M to $186M
        May 29, 2019 to Mar 29, 2020
      • Advisory employees · 2 to 1
        Mar 28, 2018 to Mar 26, 2019
      • Assets in custody · $268M to $214M
        Mar 28, 2018 to Mar 26, 2019
      • Employees · 6 to 5
        Mar 28, 2018 to Mar 26, 2019
      • Discretionary RAUM · $286M to $232M
        Mar 28, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $286M to $232M
        Mar 28, 2018 to Mar 26, 2019
      • RAUM · $286M to $232M
        Mar 28, 2018 to Mar 26, 2019
      • Accounts · 7 to 8
        Mar 28, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 8.0
        Mar 28, 2017 to Mar 28, 2018
      • Assets in custody · $284M to $268M
        Mar 28, 2017 to Mar 28, 2018
      • Employees · 7 to 6
        Mar 28, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 28, 2018
      • Discretionary RAUM · $300M to $286M
        Mar 28, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 285562639.0
        Mar 28, 2017 to Mar 28, 2018
      • RAUM · $300M to $286M
        Mar 28, 2017 to Mar 28, 2018
      • Accounts · 8 to 7
        Apr 14, 2016 to Mar 28, 2017
      • Advisory employees · 4 to 2
        Apr 14, 2016 to Mar 28, 2017
      • Assets in custody · $356M to $284M
        Apr 14, 2016 to Mar 28, 2017
      • Private funds · 4 to 3
        Apr 14, 2016 to Mar 28, 2017
      • Discretionary RAUM · $375M to $300M
        Apr 14, 2016 to Mar 28, 2017
      • RAUM · $375M to $300M
        Apr 14, 2016 to Mar 28, 2017
      • Accounts · 11 to 8
        Jan 11, 2016 to Mar 29, 2016
      • Advisory employees · 8 to 4
        Jan 11, 2016 to Mar 29, 2016
      • Assets in custody · $991M to $356M
        Jan 11, 2016 to Mar 29, 2016
      • Employees · 18 to 7
        Jan 11, 2016 to Mar 29, 2016
      • Private funds · 5 to 4
        Jan 11, 2016 to Mar 29, 2016
      • Discretionary RAUM · $1.1B to $375M
        Jan 11, 2016 to Mar 29, 2016
      • RAUM · $1.1B to $375M
        Jan 11, 2016 to Mar 29, 2016
      • Assets in custody · $1.1B to $991M
        Jul 22, 2014 to Mar 27, 2015
      • Employees · 17 to 18
        Jul 22, 2014 to Mar 27, 2015
      • Discretionary RAUM · $1.2B to $1.1B
        Jul 22, 2014 to Mar 27, 2015
      • RAUM · $1.2B to $1.1B
        Jul 22, 2014 to Mar 27, 2015
      • Advisory employees · 9 to 8
        Mar 28, 2014 to Jul 22, 2014
      • Assets in custody · $1.1B to $1.1B
        Mar 28, 2014 to Jul 22, 2014
      • Employees · 18 to 17
        Mar 28, 2014 to Jul 22, 2014
      • Discretionary RAUM · $1.2B to $1.2B
        Mar 28, 2014 to Jul 22, 2014
      • RAUM · $1.2B to $1.2B
        Mar 28, 2014 to Jul 22, 2014
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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