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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

K••••• C••••••

Former SEC-registered adviserDallas, TexasCRD 160931SEC 801-74562IAPD
Legal name K••••• C••••••• L••
Latest filing Mar 24, 2016
First filing on the tape Mar 9, 2012 · 5 filings
RAUM
$250M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$250M as of Mar 24, 2016
Apr 1, 2013$664M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2016
Apr 1, 20130 then
Employees (5.A)12 as of Mar 24, 2016
Apr 1, 201315 then
Private funds: no history
RAUM -19% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2016; 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
$50.0MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-19%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
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
noreported
Compensation
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
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••• 5•no longer reportedHedge Fund$177M1Mar 9, 2012
      K••••• F••• 2•no longer reportedHedge Fund$105M1Mar 9, 2012
      K••••• F••• 3•no longer reportedHedge Fund$42.2M1Mar 9, 2012
      K••••• F••• 4•no longer reportedHedge Fund$36.9M1Mar 9, 2012
      K••••• F••• 1•no longer reportedPrivate Equity Fund$5.8M2Mar 9, 2012
      K••••• F••• 6•no longer reportedPrivate Equity Fund$2.7M1Mar 9, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• P••••••••• · Presidentcontrol
        since 10/2007 · owns less than 5%
      • S••••• E•••• · Ownercontrol
        since 10/2007 · owns 50% to 75%
      • W•••• W••••••• R•••••• · Ownercontrol
        since 10/2007 · owns 50% to 75%
      • H•••• A•••••• M••••••• · Chief Compliance Officer
        since 03/2012 · owns less than 5%
      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
      • Employees · 13 to 12
        Mar 26, 2015 to Mar 24, 2016
      • Discretionary RAUM · $308M to $250M
        Mar 26, 2015 to Mar 24, 2016
      • RAUM · $308M to $250M
        Mar 26, 2015 to Mar 24, 2016
      • Accounts · 6 to 5
        Mar 26, 2014 to Mar 26, 2015
      • Assets in custody · unset to 0.0
        Mar 26, 2014 to Mar 26, 2015
      • Employees · 11 to 13
        Mar 26, 2014 to Mar 26, 2015
      • Discretionary RAUM · $686M to $308M
        Mar 26, 2014 to Mar 26, 2015
      • RAUM · $686M to $308M
        Mar 26, 2014 to Mar 26, 2015
      • Advisory employees · 3 to 2
        Apr 1, 2013 to Mar 26, 2014
      • Employees · 15 to 11
        Apr 1, 2013 to Mar 26, 2014
      • Discretionary RAUM · $664M to $686M
        Apr 1, 2013 to Mar 26, 2014
      • RAUM · $664M to $686M
        Apr 1, 2013 to Mar 26, 2014
      • Accounts · 8 to 6
        Mar 9, 2012 to Apr 1, 2013
      • Advisory employees · unset to 3.0
        Mar 9, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 9, 2012 to Apr 1, 2013
      • Assets in custody · 5100000.0 to unset
        Mar 9, 2012 to Apr 1, 2013
      • Custody of client assets · true to false
        Mar 9, 2012 to Apr 1, 2013
      • Employees · unset to 15.0
        Mar 9, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 9, 2012 to Apr 1, 2013
      • Private funds · 6 to unset
        Mar 9, 2012 to Apr 1, 2013
      • Discretionary RAUM · $378M to $664M
        Mar 9, 2012 to Apr 1, 2013
      • RAUM · $378M to $664M
        Mar 9, 2012 to Apr 1, 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