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

J•••••• C•••••• M••••••••• L••••

Former SEC-registered adviserCRD 163369SEC 801-113069IAPD
Latest filing Mar 30, 2018
First filing on the tape Jun 30, 2014 · 3 filings
RAUM
$179M
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
0
beyond the principal office
Private funds
4
$359M gross assets
History
3 filings and snapshots on the tape
RAUM$179M as of Mar 30, 2018
Jun 30, 2014$228M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Jun 30, 20140 then
Employees (5.A)2 as of Mar 30, 2018
Jun 30, 20143 then
Private funds4 as of Mar 30, 2018
Jun 30, 201416 then
Practice profile
derived from the filing of Mar 30, 2018; 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
$89.7MderivedRAUM 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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$179M, 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
  • 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)
  • 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)
  • the adviser acts as qualified custodian (9.D.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$179M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$179M 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J•••••• P•••••• E••••• F•••• L•••no longer reportedPrivate Equity Fund$21.2M90Apr 2, 2012
      J••• F••• I•• L••no longer reportedPrivate Equity Fund$11.8M21Mar 27, 2014
      J•• C• L•• L•••no longer reportedHedge Fund$8.3M100Apr 2, 2012
      J••• F•••• L••no longer reportedPrivate Equity Fund$4.7M26Mar 27, 2014
      J•• G• L•• L•••no longer reportedHedge Fund$1.8M110Apr 2, 2012
      J•••••• P•••••• E••••• C•••••••• F•••• L•••no longer reportedPrivate Equity Fund$1.4M14Apr 2, 2012
      J••• F•••• L••Hedge Fund$1.0M65Mar 30, 2018
      J•• B• L•• L•••no longer reportedHedge Fund$600,000115Apr 2, 2012
      J•••••• P•••••• E••••• F••• I•• L•••Private Equity Fund$200,00080Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• K•••• C•••••• · Presidentcontrol
        since 09/1995 · owns 75% or more
      • S••••••• M••••••• D• · Chief Compliance Officercontrol
        since 02/2006 · owns less than 5%
      • M•••••••• K•••• C•••••• · Grantorcontrol
        since 02/2006 · owns 75% or more of K••• C• M••••••• D•••••• T••••
      • M•••••••• K•••• C•••••• · Grantorcontrol
        since 10/2003 · owns 75% or more of K••• C• M••••••• R•••••••• T••••
      Entity owners
      • K••• C• M••••••• R•••••••• T•••• · LLC Member
        direct · owns 50% to 75%
      • M••••••• A•••• M••••••••• L•••••• P••••••••• · LLC Member
        direct · owns 25% to 50%
      • K••• C• M••••••• D•••••• T•••• · L•••••• Partner
        indirect · owns 50% to 75% of M••••••• A•••• M••••••••• L•••••• P•••••••••
      • K••• C• M••••••• R•••••••• T•••• · L•••••• Partner
        indirect · owns 25% to 50% of M••••••• A•••• M••••••••• L•••••• P•••••••••
      Related persons
      Schedule D 7.A
      • J•••••• P•••••• E••••• G• I•• L•••
        pooled vehicle sponsory
      • J•••••• P•••••• E•••••• L••
        investment advisercustodiany
      • J••• M••••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 2
        Jul 3, 2014 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        Jul 3, 2014 to Mar 30, 2018
      • Assets in custody · $228M to $179M
        Jul 3, 2014 to Mar 30, 2018
      • Employees · 3 to 2
        Jul 3, 2014 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jul 3, 2014 to Mar 30, 2018
      • Private funds · 8 to 4
        Jul 3, 2014 to Mar 30, 2018
      • Discretionary RAUM · $228M to $179M
        Jul 3, 2014 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 179400000.0
        Jul 3, 2014 to Mar 30, 2018
      • RAUM · $228M to $179M
        Jul 3, 2014 to Mar 30, 2018
      • Private funds · 16 to 8
        Jun 30, 2014 to Jul 3, 2014
      Signals
      1 dated events
      • J•••••• C•••••• M••••••••• L•••• filed its initial SEC registration (Form ADV)
        Jun 30, 2014 · First SEC registration · fact
      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