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
K••••• C•••••• L••••••
Latest filing Sep 24, 2021
First filing on the tape May 3, 2012 · 20 filings
RAUM
$944M
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
6
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
$542M gross assets
History
20 filings and snapshots on the tape
RAUM$944M as of Sep 24, 2021
Aug 30, 2012$63.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 24, 2021
Sep 20, 20130 then
Employees (5.A)6 as of Sep 24, 2021
Sep 20, 20131 then
Private funds2 as of Sep 24, 2021
Aug 30, 20121 then
RAUM +1.1% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 24, 2021; 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
- $472MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.1%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
- 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)
- 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$944M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•• M•••• R•••••••• I• S••• | Other Private Fund | $345M | 6 | Aug 21, 2017 |
| K••••• M•••• R•••••••• S•• S•••••••• | Other Private Fund | $197M | 36 | May 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• W••••••• B•••• A••••• · Directorcontrolsince 07/2010 · owns less than 5%
- A•••••••• J•••• · Chief Executive Officer / Chief Compliance Officercontrolsince 07/2010 · owns less than 5%
- B••••••• T••••••• B•••• · Directorcontrolsince 10/2010 · owns less than 5%
- D••••••• T•••••• W•••••• · Directorcontrolsince 07/2020 · owns less than 5%
- F••••••••• J••••• P•••• · Directorcontrolsince 07/2010 · owns less than 5%
Entity owners
- K••••• M•••• G•••• L•••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- K•• I• S•••pooled vehicle sponsorn
- K••••• C•••••• ••••••••• S•••investment advisern
- K••••• C•••••• L••••••••• S•••investment advisern
- K••••• M•••• R•••••••• S•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- L•••••••••, Luxembourg3 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $933M to $944MSep 8, 2020 to Sep 24, 2021
- Pooled vehicle RAUM · $933M to $944MSep 8, 2020 to Sep 24, 2021
- RAUM · $933M to $944MSep 8, 2020 to Sep 24, 2021
- Discretionary RAUM · $872M to $933MOct 8, 2019 to Sep 8, 2020
- Pooled vehicle RAUM · $872M to $933MOct 8, 2019 to Sep 8, 2020
- RAUM · $872M to $933MOct 8, 2019 to Sep 8, 2020
- Advisory employees · 1 to 2Sep 27, 2018 to Oct 8, 2019
- Employees · 3 to 6Sep 27, 2018 to Oct 8, 2019
- Discretionary RAUM · $691M to $872MSep 27, 2018 to Oct 8, 2019
- Pooled vehicle RAUM · $691M to $872MSep 27, 2018 to Oct 8, 2019
- RAUM · $691M to $872MSep 27, 2018 to Oct 8, 2019
- Employees · 2 to 3Jul 3, 2018 to Sep 27, 2018
- Discretionary RAUM · $543M to $691MJul 3, 2018 to Sep 27, 2018
- Pooled vehicle RAUM · $543M to $691MJul 3, 2018 to Sep 27, 2018
- RAUM · $543M to $691MJul 3, 2018 to Sep 27, 2018
- Employees · 1 to 2Jun 11, 2018 to Jun 25, 2018
- Pooled vehicle clients · unset to 2.0Aug 21, 2017 to Oct 2, 2017
- Other offices · unset to 2.0Aug 21, 2017 to Oct 2, 2017
- Discretionary RAUM · $498M to $543MAug 21, 2017 to Oct 2, 2017
- Pooled vehicle RAUM · unset to 542975000.0Aug 21, 2017 to Oct 2, 2017
- RAUM · $498M to $543MAug 21, 2017 to Oct 2, 2017
- Accounts · 1 to 2Sep 30, 2016 to Aug 21, 2017
- Private funds · 1 to 2Sep 30, 2016 to Aug 21, 2017
- Discretionary RAUM · $153M to $498MSep 30, 2016 to Aug 21, 2017
- RAUM · $153M to $498MSep 30, 2016 to Aug 21, 2017
- Discretionary RAUM · $63.0M to $153MMay 6, 2014 to Sep 23, 2014
- RAUM · $63.0M to $153MMay 6, 2014 to Sep 23, 2014
- Assets in custody · 19000000.0 to unsetApr 18, 2013 to May 14, 2013
- Custody of client assets · true to falseApr 18, 2013 to May 14, 2013
- Advisory employees · unset to 1.0Aug 30, 2012 to Apr 18, 2013
- BD registered reps · unset to 0.0Aug 30, 2012 to Apr 18, 2013
- Employees · unset to 1.0Aug 30, 2012 to Apr 18, 2013
- State-registered IARs · unset to 0.0Aug 30, 2012 to Apr 18, 2013
- Related adviser · false to trueAug 30, 2012 to Apr 18, 2013
- Assets in custody · $10.0M to $19.0MMay 3, 2012 to Aug 30, 2012
- Financial planning clients · unset to 1-10May 3, 2012 to Aug 30, 2012
- Discretionary RAUM · $35.5M to $63.0MMay 3, 2012 to Aug 30, 2012
- RAUM · $35.5M to $63.0MMay 3, 2012 to Aug 30, 2012
Signals
5 dated events
- L•••••• H••••• (Director) no longer on Schedule A of K••••• C•••••• L•••••• (listed 2020-09-08, absent 2021-09-24)Sep 24, 2021 · Control person left · inference
- Christiaan W••••••••• (Director) no longer on Schedule A of K••••• C•••••• L•••••• (listed 2020-09-08, absent 2021-09-24)Sep 24, 2021 · Control person left · inference
- W•••••• T••••• D•••••• (Director) appeared on Schedule A of K••••• C•••••• L••••••Sep 24, 2021 · Control person joined · fact
- K••••• C•••••• L•••••• reported RAUM $871.6M, up 26% from $691.3M (2018-09-27 to 2019-10-08)Oct 8, 2019 · RAUM change · derived
- K••••• C•••••• L•••••• reported RAUM $691.3M, up 27% from $543.0M (2018-07-03 to 2018-09-27)Sep 27, 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.
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