DFX Intelligence
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SEC-registered adviser
K•••••••• C•••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Feb 14, 2012 · 22 filings
SEC status approved since Mar 8, 2012
RAUM
$127M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$127M as of Mar 26, 2026
Feb 25, 2013$865M then
HNW client RAUM$0 as of Mar 26, 2026
Mar 26, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Feb 25, 20130 then
Employees (5.A)4 as of Mar 26, 2026
Feb 25, 201311 then
Private funds2 as of Mar 26, 2026
Feb 25, 20132 then
RAUM -15% over the last fiscal year-8.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $31.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 79%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
- -15%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Charitable organizations$100M79%
- Pooled investment vehicles$26.6M21%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.21 institutional_share=0.79 related_bd=false related_bank=true 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•••••••• A•••• C•••••• M••••• F•••• L••• | Hedge Fund | $34.6M | 7 | Mar 29, 2017 |
| Y•• P•••••••• L•••no longer reported | Hedge Fund | $4.3M | 0 | Jun 21, 2017 |
| K•••••••• C•••••• P•••••••• L•••no longer reported | Hedge Fund | $2,000 | 2 | Feb 14, 2012 |
| K•••••••• I••••••••• | Hedge Fund | $0 | 0 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• J•••• A••••• · Cco/Cfocontrolsince 02/2017 · owns less than 5%
- W••••••• M••••••• I•• · Manager And Membercontrolsince 11/2001 · owns 75% or more
Related persons
Schedule D 7.A
- K•••••••• A•••• C•••••• M••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Mar 28, 2025 to Mar 26, 2026
- Advisory employees · 3 to 2Mar 28, 2025 to Mar 26, 2026
- Employees · 5 to 4Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $149M to $127MMar 28, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $31.0M to $26.6MMar 28, 2025 to Mar 26, 2026
- RAUM · $149M to $127MMar 28, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $155M to $149MMar 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $34.6M to $31.0MMar 25, 2024 to Mar 28, 2025
- RAUM · $155M to $149MMar 25, 2024 to Mar 28, 2025
- Accounts · 6 to 5Mar 29, 2023 to Mar 25, 2024
- Advisory employees · 4 to 3Mar 29, 2023 to Mar 25, 2024
- Pooled vehicle clients · 4 to 3Mar 29, 2023 to Mar 25, 2024
- Employees · 6 to 5Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $164M to $155MMar 29, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $33.6M to $34.6MMar 29, 2023 to Mar 25, 2024
- RAUM · $164M to $155MMar 29, 2023 to Mar 25, 2024
- Accounts · 7 to 6Mar 31, 2022 to Mar 29, 2023
- Pooled vehicle clients · 5 to 4Mar 31, 2022 to Mar 29, 2023
- Employees · 8 to 6Mar 31, 2022 to Mar 29, 2023
- Private funds · 3 to 2Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $161M to $164MMar 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $29.2M to $33.6MMar 31, 2022 to Mar 29, 2023
- RAUM · $161M to $164MMar 31, 2022 to Mar 29, 2023
- Accounts · 10 to 7Mar 29, 2021 to Mar 31, 2022
- Advisory employees · 6 to 4Mar 29, 2021 to Mar 31, 2022
- Advisory activities · 1 to 2Mar 29, 2021 to Mar 31, 2022
- Pooled vehicle clients · 7 to 5Mar 29, 2021 to Mar 31, 2022
- Assets in custody · $92.9M to $0Mar 29, 2021 to Mar 31, 2022
- Employees · 10 to 8Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $600M to $161MMar 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $316M to $29.2MMar 29, 2021 to Mar 31, 2022
- RAUM · $600M to $161MMar 29, 2021 to Mar 31, 2022
- Accounts · 11 to 10Mar 26, 2020 to Mar 29, 2021
- Advisory employees · 4 to 6Mar 26, 2020 to Mar 29, 2021
- Assets in custody · $90.1M to $92.9MMar 26, 2020 to Mar 29, 2021
- Employees · 6 to 10Mar 26, 2020 to Mar 29, 2021
- Discretionary RAUM · $606M to $600MMar 26, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $267M to $316MMar 26, 2020 to Mar 29, 2021
- RAUM · $606M to $600MMar 26, 2020 to Mar 29, 2021
Signals
5 dated events
- Markham Brian Cooney (Coo) no longer on Schedule A of K•••••••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- K•••••••• C•••••• M••••••••• L•• reported RAUM $160.7M, down 73% from $600.1M (2021-03-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- K•••••••• C•••••• M••••••••• L•• reported RAUM $606.4M, up 39% from $436.5M (2019-03-28 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- K•••••••• C•••••• M••••••••• L•• reported RAUM $436.5M, up 58% from $275.8M (2018-03-27 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- K•••••••• C•••••• M••••••••• L•• reported RAUM $275.8M, up 59% from $173.3M (2017-06-21 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 510-231-9200reportedpublic record, Form ADV, Mar 26, 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
- Institutional managerderiveda 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