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••••• M••••••••• L••
Latest filing Aug 14, 2026
First filing on the tape Sep 28, 2012 · 23 filings
SEC status approved since Oct 5, 2012
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.2B
derived; firm RAUM over IAPD count
Employees
34
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.2B as of Aug 14, 2026
Mar 26, 2013$126M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 14, 2026
Mar 26, 20133 then
Employees (5.A)34 as of Aug 14, 2026
Mar 26, 20138 then
Private funds13 as of Aug 14, 2026
Mar 26, 20131 then
RAUM +37% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.2BderivedRAUM 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
- $184MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 34.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- a related person has custody of client cash (9.B.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• K••••• B•••••••Chartered Financial Analyst | Seattle, Wa | Nov 30, 2012 | 15 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- T•••• A•••• S••••• to M• H••••••• S••••••••• I•••May 9, 2014 · Other
Joined, latest
- T•••• A•••• S••••• from S••••••• F•••••••• S•••••••• I•••Dec 3, 2012 · Other
- A•• K••••• B••••••• from S••••••• F•••••••• S•••••••• I•••Nov 30, 2012 · Other
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•• P••••••• L• | Private Equity Fund | $626M | 2 | Mar 26, 2013 |
| K•••• H•••••••• L• | Securitized Asset Fund | $195M | 2 | Mar 31, 2022 |
| R••••••• L••• P••••••• L• | Private Equity Fund | $181M | 2 | Mar 9, 2018 |
| P•• H••••••••• L• | Securitized Asset Fund | $160M | 2 | Mar 29, 2024 |
| K•••• H•••••••• L• | Securitized Asset Fund | $104M | 2 | Mar 30, 2020 |
| K•••• H•••••••• L• | Securitized Asset Fund | $92.0M | 2 | Mar 31, 2022 |
| K•• P•••••••• L• | Private Equity Fund | $58.3M | 2 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A••• K••••• · Ceo And Ciocontrolsince 03/2023 · owns 10% to 25%
- B•••••• D••••• J••••••• G•••••• · Coo & Ccocontrolsince 03/2022 · owns less than 5%
- K•••••• G•••••• C•••• · Executive Chairman And Managing Membercontrolsince 03/2023 · owns 25% to 50%
- K•••••• D••••• A•••••••• · Membersince 09/2011 · owns 10% to 25%
- K••••• D••••• W••••• · Cfosince 06/2024 · owns 5% to 10%
- N••••• K•••• G••• · Evp Of Capital Marketssince 12/2022 · owns less than 5%
Related persons
Schedule D 7.A
- C•• P•••••• L•••real estaten
- K••••• F•••• K•• L••pooled vehicle sponsorn
- K••••• F•••• L••pooled vehicle sponsorn
- K••••• I•••••••• S••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 8.0 to 13.0 (+63.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1022 comparable advisers, 96.0th percentile of changes)peers: asset managers, $1B to $5B (1,022) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 15 to 12Feb 5, 2026 to Mar 31, 2026
- Pooled vehicle clients · 8 to 12Feb 5, 2026 to Mar 31, 2026
- Assets in custody · $937M to $0Feb 5, 2026 to Mar 31, 2026
- Custody of client assets · true to falseFeb 5, 2026 to Mar 31, 2026
- Employees · 32 to 34Feb 5, 2026 to Mar 31, 2026
- Private funds · 8 to 13Feb 5, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.5B to $2.2BFeb 5, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $74.9M to $0Feb 5, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $1.6B to $2.2BFeb 5, 2026 to Mar 31, 2026
- RAUM · $1.6B to $2.2BFeb 5, 2026 to Mar 31, 2026
- Advisory employees · 6 to 7Mar 31, 2025 to Feb 5, 2026
- Employees · 24 to 32Mar 31, 2025 to Feb 5, 2026
- Accounts · 13 to 15Jun 28, 2024 to Mar 31, 2025
- Advisory employees · 8 to 6Jun 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 8Jun 28, 2024 to Mar 31, 2025
- Assets in custody · $865M to $937MJun 28, 2024 to Mar 31, 2025
- Employees · 21 to 24Jun 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jun 28, 2024 to Mar 31, 2025
- Private funds · 7 to 8Jun 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.3B to $1.5BJun 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $112M to $74.9MJun 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.4B to $1.6BJun 28, 2024 to Mar 31, 2025
- RAUM · $1.4B to $1.6BJun 28, 2024 to Mar 31, 2025
- Advisory employees · 9 to 8Mar 29, 2024 to Jun 28, 2024
- Employees · 22 to 21Mar 29, 2024 to Jun 28, 2024
- Accounts · 12 to 13Mar 30, 2023 to Mar 29, 2024
- Pooled vehicle clients · 6 to 7Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $908M to $865MMar 30, 2023 to Mar 29, 2024
- Employees · 18 to 22Mar 30, 2023 to Mar 29, 2024
- Financial planning clients · 0 to unsetMar 30, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 1Mar 30, 2023 to Mar 29, 2024
- Private funds · 6 to 7Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.1B to $1.3BMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $260M to $112MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.3B to $1.4BMar 30, 2023 to Mar 29, 2024
- RAUM · $1.3B to $1.4BMar 30, 2023 to Mar 29, 2024
- Accounts · 11 to 12Dec 1, 2022 to Mar 30, 2023
- Advisory employees · 8 to 9Dec 1, 2022 to Mar 30, 2023
- Assets in custody · $866M to $908MDec 1, 2022 to Mar 30, 2023
- Employees · 15 to 18Dec 1, 2022 to Mar 30, 2023
Signals
10 dated events
- K••••• M••••••••• L•• reported RAUM $2.2B, up 37% from $1.6B (2026-02-05 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Xavier Francis Gannon (Cfo) no longer on Schedule A of K••••• M••••••••• L•• (listed 2024-03-29, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Xavier Francis Gannon (Cfo) appeared on Schedule A of K••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- R••• P•••••• N••••• (Chief Financial Officer) no longer on Schedule A of K••••• M••••••••• L•• (listed 2022-03-31, absent 2022-12-01)Dec 1, 2022 · Control person left · inference
- K••••• M••••••••• L•• reported RAUM $1.3B, up 28% from $1.0B (2021-03-25 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- R••• P•••••• N••••• (Chief Financial Officer) appeared on Schedule A of K••••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- Jonathan Garavan David Bunker (Coo & Cco) appeared on Schedule A of K••••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- Alan Andrew Quartner (Chief Legal Counsel) no longer on Schedule A of K••••• M••••••••• L•• (listed 2020-03-30, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
- K••••• M••••••••• L•• reported RAUM $781.5M, up 207% from $254.9M (2017-03-28 to 2018-03-09)Mar 9, 2018 · RAUM change · derived
- K••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 28, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- K••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- K••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/kosmos-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- kosmosllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-624-8111reportedpublic record, Form ADV, Aug 14, 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
- $2.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026