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••••••• I•• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 160673SEC 801-73396IAPD
Latest filing May 1, 2019
First filing on the tape Feb 13, 2012 · 15 filings
RAUM
$100M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$100M gross assets
History
15 filings and snapshots on the tape
RAUM$100M as of May 1, 2019
Mar 15, 2013$283M then
HNW client RAUM$0 as of May 1, 2019
Mar 8, 2018$0 then
State-registered IARs (5.B.3)0 as of May 1, 2019
Mar 15, 20130 then
Employees (5.A)2 as of May 1, 2019
Mar 15, 20133 then
Private funds2 as of May 1, 2019
Mar 15, 20132 then
RAUM -25% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 2019; 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
$50.2MderivedRAUM 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$146M, 2 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
  • 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$100M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$146M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K• C•••••••• P••••••• F••• I•• L•••Private Equity Fund$88.6M2Feb 13, 2012
      C•••••• C•••••••• P•••••••• L••Private Equity Fund$33,8952Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••••• T••••••• R••• · Member And Chief Compliance Officercontrol
        since 06/2007 · owns 50% to 75%
      • M••••••• D••••••• L••••• · Membercontrol
        since 06/2007 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $133M to $100M
        Apr 24, 2018 to May 1, 2019
      • Pooled vehicle RAUM · $133M to $100M
        Apr 24, 2018 to May 1, 2019
      • RAUM · $133M to $100M
        Apr 24, 2018 to May 1, 2019
      • Charity clients · unset to 0.0
        Mar 16, 2017 to Mar 8, 2018
      • Corporate clients · unset to 0.0
        Mar 16, 2017 to Mar 8, 2018
      • HNW clients · unset to 0.0
        Mar 16, 2017 to Mar 8, 2018
      • Individual clients · unset to 0.0
        Mar 16, 2017 to Mar 8, 2018
      • Pension plan clients · unset to 0.0
        Mar 16, 2017 to Mar 8, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 16, 2017 to Mar 8, 2018
      • Other offices · unset to 1.0
        Mar 16, 2017 to Mar 8, 2018
      • Discretionary RAUM · $146M to $133M
        Mar 16, 2017 to Mar 8, 2018
      • HNW RAUM · unset to 0.0
        Mar 16, 2017 to Mar 8, 2018
      • Individual RAUM · unset to 0.0
        Mar 16, 2017 to Mar 8, 2018
      • Pension RAUM · unset to 0.0
        Mar 16, 2017 to Mar 8, 2018
      • Pooled vehicle RAUM · unset to 133412144.0
        Mar 16, 2017 to Mar 8, 2018
      • RAUM · $146M to $133M
        Mar 16, 2017 to Mar 8, 2018
      • Assets in custody · $150M to $146M
        Oct 24, 2016 to Mar 16, 2017
      • Financial planning clients · unset to 1-10
        Oct 24, 2016 to Mar 16, 2017
      • Discretionary RAUM · $150M to $146M
        Oct 24, 2016 to Mar 16, 2017
      • RAUM · $150M to $146M
        Oct 24, 2016 to Mar 16, 2017
      • Assets in custody · $208M to $150M
        Sep 23, 2015 to Mar 25, 2016
      • Discretionary RAUM · $208M to $150M
        Sep 23, 2015 to Mar 25, 2016
      • RAUM · $208M to $150M
        Sep 23, 2015 to Mar 25, 2016
      • Advisory employees · 3 to 2
        Mar 12, 2015 to Sep 22, 2015
      • Assets in custody · unset to 208164768.0
        Mar 12, 2015 to Sep 22, 2015
      • Custody of client assets · false to true
        Mar 12, 2015 to Sep 22, 2015
      • Employees · 3 to 2
        Mar 12, 2015 to Sep 22, 2015
      • Discretionary RAUM · $303M to $208M
        Mar 12, 2015 to Sep 22, 2015
      • RAUM · $303M to $208M
        Mar 12, 2015 to Sep 22, 2015
      • Discretionary RAUM · $456M to $303M
        Mar 21, 2014 to Mar 12, 2015
      • RAUM · $456M to $303M
        Mar 21, 2014 to Mar 12, 2015
      • Discretionary RAUM · $283M to $456M
        Mar 15, 2013 to Mar 21, 2014
      • RAUM · $283M to $456M
        Mar 15, 2013 to Mar 21, 2014
      • Discretionary RAUM · $300M to $283M
        Feb 8, 2013 to Mar 15, 2013
      • RAUM · $300M to $283M
        Feb 8, 2013 to Mar 15, 2013
      • Advisory employees · unset to 3.0
        Feb 13, 2012 to Feb 8, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Feb 8, 2013
      • Employees · unset to 3.0
        Feb 13, 2012 to Feb 8, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Feb 8, 2013
      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