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Former SEC-registered adviser

C•• C•••••• P•••••••

Former SEC-registered adviserDenver, ColoradoCRD 161195SEC 801-74202IAPD
Legal name K•• M••••••••• C••••••• I••
Latest filing Jun 30, 2015
First filing on the tape Feb 15, 2012 · 11 filings
RAUM
$85.0M
reported, Item 5.F
Discretionary
94%
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$80.1M gross assets
History
11 filings and snapshots on the tape
RAUM$85.0M as of Mar 27, 2015
Apr 1, 2013$76.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Apr 1, 20130 then
Employees (5.A)4 as of Mar 27, 2015
Apr 1, 20135 then
Private funds1 as of Mar 27, 2015
Apr 1, 20133 then
RAUM +7.4% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2015; 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
$9.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
94%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
+7.4%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
$80.1M, 1 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
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$80.1M for 1 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• C•••••• P••••••• I••• L•Private Equity Fund$80.1M21Feb 15, 2012
      C•• C•••••• P••••••• I•• L•no longer reportedPrivate Equity Fund$5.4M20Feb 15, 2012
      C•• I••••••••• P••••••• I•• L•no longer reportedPrivate Equity Fund$1.4M5Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• D••••• J••• · Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      • F•••••••• J•••• W••••• · Vice-Presidentcontrol
        since 06/1995 · owns 50% to 75%
      • K••••• T•••••• L•••• · Presidentcontrol
        since 06/1995 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • G•••••• M••••••••• C••••••• I•••
        pooled vehicle sponsory
      • K• C•••••• I••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 9
        Jun 24, 2014 to Mar 27, 2015
      • Advisory employees · 4 to 2
        Jun 24, 2014 to Mar 27, 2015
      • Assets in custody · $92.1M to $80.1M
        Jun 24, 2014 to Mar 27, 2015
      • Employees · 5 to 4
        Jun 24, 2014 to Mar 27, 2015
      • Organization form · Other (specify) to Corporation
        Jun 24, 2014 to Mar 27, 2015
      • Discretionary RAUM · $92.1M to $80.1M
        Jun 24, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $0 to $4.9M
        Jun 24, 2014 to Mar 27, 2015
      • RAUM · $92.1M to $85.0M
        Jun 24, 2014 to Mar 27, 2015
      • Assets in custody · $79.1M to $92.1M
        Mar 31, 2014 to Jun 24, 2014
      • Discretionary RAUM · $79.1M to $92.1M
        Mar 31, 2014 to Jun 24, 2014
      • RAUM · $79.1M to $92.1M
        Mar 31, 2014 to Jun 24, 2014
      • Private funds · 3 to 1
        Jun 24, 2013 to Mar 31, 2014
      • Accounts · 3 to 1
        Jun 24, 2013 to Mar 31, 2014
      • Assets in custody · $76.7M to $79.1M
        Jun 24, 2013 to Mar 31, 2014
      • Discretionary RAUM · $90.7M to $79.1M
        Jun 24, 2013 to Mar 31, 2014
      • RAUM · $90.7M to $79.1M
        Jun 24, 2013 to Mar 31, 2014
      • Discretionary RAUM · $76.7M to $90.7M
        Apr 1, 2013 to Jun 24, 2013
      • RAUM · $76.7M to $90.7M
        Apr 1, 2013 to Jun 24, 2013
      • Advisory employees · unset to 4.0
        Apr 24, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Apr 24, 2012 to Apr 1, 2013
      • Assets in custody · $114M to $76.7M
        Apr 24, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Apr 24, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Apr 24, 2012 to Apr 1, 2013
      • Discretionary RAUM · $114M to $76.7M
        Apr 24, 2012 to Apr 1, 2013
      • RAUM · $114M to $76.7M
        Apr 24, 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