DFX Intelligence
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K•• C•••••• A•••••••• L••
Asset manager (funds and pooled vehicles), based in Newport Beach, California, reporting $1.7B of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $1.7B
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -18%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $2.1BRAUM now $1.7B
- discretionary share of RAUM 0Peer median 1
- Contact points 2
Every filed figure, and the identifiersCRD 166213 · SEC 801-77576 · 29 filingsShowHide
CRD 166213SEC 801-77576First filing on the tape Jan 14, 2013, latest Mar 27, 2026SEC status approved since Jan 29, 2013IAPD
RAUM
$1.7B
reported, Item 5.F
Discretionary
0.0%
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
75
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.7B as of Mar 27, 2026
Mar 30, 2020$5.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20140 then
Employees (5.A)75 as of Mar 27, 2026
Mar 28, 201422 then
Private funds: no history
RAUM -18% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $1.7BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- -18%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 pooled vehiclesreportedItem 5.G
- Custody
- $23.4M, 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 custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.4M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• J••• C••••••• J•• · Chairman And Presidentcontrolsince 09/2023 · owns less than 5%
- S••••••••• J••• C••••••• J•• · Limited Partnercontrolsince 10/2004 · owns 75% or more of S•••••••• R••• E••••• I••••••••• L•••
- S••••••••• J••• C••••••• J•• · Managercontrolsince 10/2019 · owns F of P••• M••••••••• L••
- S••••••••• J••• C••••••• J•• · Elected Managercontrolsince 05/2019 · owns F of P•••• I••••••••• L•••
- C•••••••• G••••••• · Regional President, Western U.S. Portfolio Operationssince 01/2023 · owns less than 5%
- D•••••• M••• · Chief Executive Officer And Regional President, Eastern Regionsince 01/2022 · owns less than 5%
- U•••••• R•••••• E•••••• · Chief Compliance Officersince 03/2014 · owns less than 5%
- W••••••••• J••••••• K•••• · Chief Financial Officer, Secretary & Treasurersince 09/2023 · owns less than 5%
- Z••••••• D••••• M•••••• · Executive Vice President, Human Resourcessince 01/2023 · owns less than 5%
- B•••• R••••••• P•••• · T••••••since 11/2020 · owns F of R•••••• P• B•••• T•••••• O• T•• N•••••••• M•••••• T•••• C•••••• U•••• T•• P•••• B••• 2••• T••••
Entity owners
- K•• H••••••• L•• · Memberdirect · owns 75% or more
- P••• M••••••••• L•• · Managerindirect · owns F of S•••••••• I••••••••• L••
- P••• M••••••••• L•• · Managerindirect · owns F of P•••• I••••••••• L••
- P•••• I••••••••• L••• · Memberindirect · owns 50% to 75% of K•• H••••••• L••
- P•••• I••••••••• L•• · General Partnerindirect · owns F of P•••• I••••••••• L•••
- R•••••• P• B•••• T•••••• O• T•• N•••••••• M•••••• T•••• C•••••• U•••• T•• P•••• B••• 2••• T•••• · Limited Partnerindirect · owns 75% or more of P•••• I••••••••• L•••
- S•••••••• I••••••••• L•• · General Partnerindirect · owns F of S•••••••• R••• E••••• I••••••••• L•••
- S•••••••• R••• E••••• I••••••••• L••• · Memberindirect · owns 50% to 75% of K•• H••••••• L••
Related persons
Schedule D 7.A
- K•• A••• P•••••••• L••pooled vehicle sponsorn
- K•• C•••••• M•••••• G•••• L••broker-dealern
- K•• M••••••••• G•••• L••pooled vehicle sponsorn
- K•• R••••• A•••••••• L••investment adviserpooled vehicle sponsorLP sponsornRAUM $2.7B
- K••• B••• S•••••••• R••••• A•••••••• I•••investment adviserpooled vehicle sponsorLP sponsornRAUM $128,212
Advisers that list K•• C•••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 27, 2026discretionary share of RAUM of 0% against a peer median of 100% (1505 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $1B to $5B (1,505) · 0.0% percentile
What changed
consecutive filings, newest first
- Assets in custody · $2.1B to $23.4MMar 28, 2025 to Mar 27, 2026
- Employees · 79 to 75Mar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $2.1B to $1.7BMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $2.1B to $1.7BMar 28, 2025 to Mar 27, 2026
- RAUM · $2.1B to $1.7BMar 28, 2025 to Mar 27, 2026
- Accounts · 3 to 1Apr 3, 2024 to Mar 28, 2025
- Pooled vehicle clients · 3 to 1Apr 3, 2024 to Mar 28, 2025
- Assets in custody · $2.6B to $2.1BApr 3, 2024 to Mar 28, 2025
- Employees · 80 to 79Apr 3, 2024 to Mar 28, 2025
- Financial planning clients · unset to Apr 3, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $2.6B to $2.1BApr 3, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.6B to $2.1BApr 3, 2024 to Mar 28, 2025
- RAUM · $2.6B to $2.1BApr 3, 2024 to Mar 28, 2025
- BD registered reps · 2 to 3Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $3.2B to $2.6BMar 30, 2023 to Mar 29, 2024
- Employees · 81 to 80Mar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $3.2B to $2.6BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.2B to $2.6BMar 30, 2023 to Mar 29, 2024
- RAUM · $3.2B to $2.6BMar 30, 2023 to Mar 29, 2024
- BD registered reps · 0 to 2Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $3.6B to $3.2BMar 31, 2022 to Mar 30, 2023
- Employees · 113 to 81Mar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $3.6B to $3.2BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $3.6B to $3.2BMar 31, 2022 to Mar 30, 2023
- RAUM · $3.6B to $3.2BMar 31, 2022 to Mar 30, 2023
- Assets in custody · $4.3B to $3.6BSep 10, 2021 to Mar 31, 2022
- Employees · 99 to 113Sep 10, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $4.3B to $3.6BSep 10, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.3B to $3.6BSep 10, 2021 to Mar 31, 2022
- RAUM · $4.3B to $3.6BSep 10, 2021 to Mar 31, 2022
- Assets in custody · $5.0B to $4.3BNov 16, 2020 to Mar 31, 2021
- Employees · 97 to 99Nov 16, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $5.0B to $4.3BNov 16, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $5.0B to $4.3BNov 16, 2020 to Mar 31, 2021
- RAUM · $5.0B to $4.3BNov 16, 2020 to Mar 31, 2021
- Accounts · unset to 3.0Jun 19, 2019 to Mar 30, 2020
- Advisory employees · 1 to 3Jun 19, 2019 to Mar 30, 2020
- Pooled vehicle clients · 6 to 3Jun 19, 2019 to Mar 30, 2020
- Assets in custody · $470M to $5.0BJun 19, 2019 to Mar 30, 2020
- Employees · 74 to 97Jun 19, 2019 to Mar 30, 2020
Signals
5 dated events
- ••• LockedMar 31, 2022 · Control person joined · fact
- ••• LockedSep 8, 2021 · Control person left · inference
- ••• LockedSep 8, 2021 · Control person left · inference
- ••• LockedJun 19, 2019 · Control person left · inference
- ••• LockedJan 14, 2013 · First SEC registration · fact
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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026