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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SEC-registered adviser
K••••••••• L••
Latest filing May 4, 2026
First filing on the tape Feb 10, 2012 · 31 filings
SEC status approved since Mar 30, 2012
RAUM
$1.6B
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
18
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.6B as of May 4, 2026
Mar 25, 2013$462M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 25, 20130 then
Employees (5.A)18 as of May 4, 2026
Mar 25, 201316 then
Private funds7 as of May 4, 2026
Mar 25, 20137 then
RAUM n/a over the last fiscal year+22% a year over three
Practice profile
derived from the filing of May 4, 2026; 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
- $233MderivedRAUM 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
- unknownderivedbetween 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
- $1.6B, 7 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6B for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K••••••••• C•••••• P••••••• I••• L••• | Private Equity Fund | $344M | 7 | Mar 27, 2017 |
| K••••••••• C•••••• P••••••• I•• L• | Private Equity Fund | $335M | 7 | Mar 29, 2022 |
| K••••••••• C•••••• P•••••••• L••• | Private Equity Fund | $151M | 13 | Feb 10, 2012 |
| K••••••••• C•••••• P••••••• I•• L••• | Private Equity Fund | $122M | 17 | Apr 27, 2012 |
| P•• S•••••••• B••••••• L•• | Private Equity Fund | $1.4M | 1 | Mar 25, 2013 |
| S•••••••• F•••• B••••••• L•• | Private Equity Fund | $1.1M | 6 | Mar 27, 2019 |
| J••••• S•••••••• B•••••• | Private Equity Fund | $765,353 | 1 | Mar 25, 2013 |
| H•••• R••••••••• C••••••••• L••no longer reported | Private Equity Fund | $78,988 | 4 | Feb 10, 2012 |
| K••••••••• H• C••••••••• L•• | Private Equity Fund | $0 | 6 | Feb 10, 2012 |
| K••••••••• Z• C••••••••• L••no longer reported | Private Equity Fund | $0 | 3 | Feb 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K•••• A••••• W•••••• · Managercontrolsince 03/2007 · owns 75% or more
- L••••• W••••••• P•••• · Managing Partnercontrolsince 01/2024 · owns less than 5%
- R•••••• C••••••••• K•••••• · Managercontrolsince 03/2007 · owns 10% to 25%
- S•••••• H•••• J••• · Managing Partnercontrolsince 01/2024 · owns less than 5%
- K••••••• A•••••• J• · Chief Operating Officer & Chief Compliance Officersince 06/2011 · owns less than 5%
- S•••••••• C••••••••• M•••••• · Cfosince 12/2022 · owns less than 5%
Related persons
Schedule D 7.A
- K••••••••• G• I• L••pooled vehicle sponsorn
- K••••••••• G• I•• L••pooled vehicle sponsorn
- K••••••••• G• I••• L••pooled vehicle sponsorn
- K••••••••• G• I•• L••pooled vehicle sponsorn
- K••••••••• 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 · $1.5B to $1.6BMar 30, 2026 to May 4, 2026
- Discretionary RAUM · $1.5B to $1.6BMar 30, 2026 to May 4, 2026
- Pooled vehicle RAUM · $1.5B to $1.6BMar 30, 2026 to May 4, 2026
- RAUM · $1.5B to $1.6BMar 30, 2026 to May 4, 2026
- Assets in custody · $1.2B to $1.5BMay 1, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.5BMay 1, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.2B to $1.5BMay 1, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.5BMay 1, 2025 to Mar 30, 2026
- Assets in custody · $955M to $1.2BApr 30, 2024 to May 1, 2025
- Financial planning clients · unset to Apr 30, 2024 to May 1, 2025
- Discretionary RAUM · $955M to $1.2BApr 30, 2024 to May 1, 2025
- Pooled vehicle RAUM · $955M to $1.2BApr 30, 2024 to May 1, 2025
- RAUM · $955M to $1.2BApr 30, 2024 to May 1, 2025
- Accounts · 8 to 7Jul 10, 2023 to Mar 21, 2024
- Advisory employees · 14 to 15Jul 10, 2023 to Mar 21, 2024
- Pooled vehicle clients · 8 to 7Jul 10, 2023 to Mar 21, 2024
- Assets in custody · $901M to $955MJul 10, 2023 to Mar 21, 2024
- Employees · 17 to 18Jul 10, 2023 to Mar 21, 2024
- Private funds · 8 to 7Jul 10, 2023 to Mar 21, 2024
- Discretionary RAUM · $901M to $955MJul 10, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $901M to $955MJul 10, 2023 to Mar 21, 2024
- RAUM · $901M to $955MJul 10, 2023 to Mar 21, 2024
- Assets in custody · $836M to $901MAug 15, 2022 to Mar 29, 2023
- Discretionary RAUM · $836M to $901MAug 15, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $836M to $901MAug 15, 2022 to Mar 29, 2023
- RAUM · $836M to $901MAug 15, 2022 to Mar 29, 2023
- Accounts · 7 to 8Jul 20, 2021 to Mar 29, 2022
- Pooled vehicle clients · 7 to 8Jul 20, 2021 to Mar 29, 2022
- Assets in custody · $0 to $836MJul 20, 2021 to Mar 29, 2022
- Private funds · 7 to 8Jul 20, 2021 to Mar 29, 2022
- Discretionary RAUM · $428M to $836MJul 20, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $428M to $836MJul 20, 2021 to Mar 29, 2022
- RAUM · $428M to $836MJul 20, 2021 to Mar 29, 2022
- Advisory employees · 13 to 14Sep 22, 2020 to Mar 23, 2021
- Employees · 16 to 17Sep 22, 2020 to Mar 23, 2021
- Discretionary RAUM · $597M to $428MSep 22, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $597M to $428MSep 22, 2020 to Mar 23, 2021
- RAUM · $597M to $428MSep 22, 2020 to Mar 23, 2021
- Assets in custody · $624M to $0Sep 10, 2019 to Mar 27, 2020
- Other offices · 1 to 0Sep 10, 2019 to Mar 27, 2020
Signals
5 dated events
- K••••••••• L•• reported RAUM $1.2B, up 29% from $955.1M (2024-04-30 to 2025-05-01)May 1, 2025 · RAUM change · derived
- Paine William Logan (Managing Partner) appeared on Schedule A of K••••••••• L••Mar 21, 2024 · Control person joined · fact
- J••• H••• S••••• (Managing Partner) appeared on Schedule A of K••••••••• L••Mar 21, 2024 · Control person joined · fact
- K••••••••• L•• reported RAUM $835.6M, up 95% from $428.1M (2021-07-20 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- K••••••••• L•• reported RAUM $428.1M, down 28% from $597.3M (2020-09-22 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- K••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- K••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- K•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-504-9900reportedpublic record, Form ADV, May 4, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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