DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

D••••• H•••• C•••••• •••• K•••• L••••••

Former SEC-registered adviserH••• K•••, CRD 166259SEC 801-77566IAPD

Latest filing Mar 19, 2020

First filing on the tape Jan 9, 2013 · 17 filings

RAUM

$16.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$16.5M gross assets

History

17 filings and snapshots on the tape

RAUM$16.5M as of Mar 19, 2020

Mar 26, 2014$974M then

HNW client RAUM$0 as of Mar 19, 2020

Mar 18, 2019$0 then

State-registered IARs (5.B.3)0 as of Mar 19, 2020

Mar 26, 20140 then

Employees (5.A)11 as of Mar 19, 2020

Mar 26, 201419 then

Private funds1 as of Mar 19, 2020

Mar 26, 20145 then

RAUM -96% over the last fiscal year-70% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 19, 2020; 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: $16.5MderivedRAUM 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: -96%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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$16.5M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
Financial planning clients: n/areported
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

Every departure Every arrival

Private funds

5 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
D••••• H•••• E••••• F•••• L•••••no longer reported	Other Private Fund	$311M	2	Mar 26, 2014
D••••• H•••• A••• C••••• O• F•••no longer reported	Hedge Fund	$162M	21	Feb 13, 2012
D••••• H•••• O••••••••• C••••• M••••• F•••	Hedge Fund	$16.5M	4	Feb 13, 2012
D••••• H•••• T••••• F•••no longer reported	Hedge Fund	$711,228	4	Feb 13, 2012
D••••• H•••• C••••• O••••••••• F•••no longer reported	Hedge Fund	$315,999	22	Feb 13, 2012

Owners and control persons

Schedule A and B, latest filing

B••••• K••••••••• S•••• · Chief Operating Officer / Chief Compliance Officercontrol
since 03/2013 · owns less than 5%
D•••• T•••••• A••••• · Head Of Research / Directorcontrol
since 10/2012 · owns less than 5%
F••••• D•••••• M••• · Chief Investment Officer / Directorcontrol
since 10/2012 · owns less than 5%
M•••••• R••••••• W•••••• · General Counselcontrol
since 10/2012 · owns less than 5%
F••••• D•••••• M••• · Shareholdercontrol
since 09/2011 · owns 75% or more of D••••• H•••• H••••••• L••••••

Entity owners

D••••• H•••• C•••••• M••••••••• L•••••• · Shareholder
direct · owns 75% or more
D••••• H•••• H••••••• L•••••• · Shareholder
indirect · owns 75% or more of D••••• H•••• C•••••• M••••••••• L••••••

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 6 to 5
Mar 18, 2019 to Mar 19, 2020
Employees · 13 to 11
Mar 18, 2019 to Mar 19, 2020
Discretionary RAUM · $378M to $16.5M
Mar 18, 2019 to Mar 19, 2020
Pooled vehicle RAUM · $378M to $16.5M
Mar 18, 2019 to Mar 19, 2020
RAUM · $378M to $16.5M
Mar 18, 2019 to Mar 19, 2020
Accounts · 3 to 1
Mar 16, 2018 to Mar 18, 2019
Advisory employees · 7 to 6
Mar 16, 2018 to Mar 18, 2019
Advisory activities · 2 to 1
Mar 16, 2018 to Mar 18, 2019
Charity clients · unset to 0.0
Mar 16, 2018 to Mar 18, 2019
Corporate clients · unset to 0.0
Mar 16, 2018 to Mar 18, 2019
HNW clients · unset to 0.0
Mar 16, 2018 to Mar 18, 2019
Individual clients · unset to 0.0
Mar 16, 2018 to Mar 18, 2019
Pension plan clients · unset to 0.0
Mar 16, 2018 to Mar 18, 2019
Employees · 16 to 13
Mar 16, 2018 to Mar 18, 2019
Organization form · Corporation to Other (specify)
Mar 16, 2018 to Mar 18, 2019
Discretionary RAUM · $659M to $378M
Mar 16, 2018 to Mar 18, 2019
HNW RAUM · unset to 0.0
Mar 16, 2018 to Mar 18, 2019
Individual RAUM · unset to 0.0
Mar 16, 2018 to Mar 18, 2019
Pension RAUM · unset to 0.0
Mar 16, 2018 to Mar 18, 2019
Pooled vehicle RAUM · $400M to $378M
Mar 16, 2018 to Mar 18, 2019
RAUM · $659M to $378M
Mar 16, 2018 to Mar 18, 2019
Related adviser · false to true
Mar 16, 2018 to Mar 18, 2019
Related bank · false to true
Mar 16, 2018 to Mar 18, 2019
Accounts · 4 to 3
Feb 5, 2018 to Mar 16, 2018
Pooled vehicle clients · unset to 1.0
Feb 5, 2018 to Mar 16, 2018
Discretionary RAUM · $611M to $659M
Feb 5, 2018 to Mar 16, 2018
Pooled vehicle RAUM · unset to 399947944.0
Feb 5, 2018 to Mar 16, 2018
RAUM · $611M to $659M
Feb 5, 2018 to Mar 16, 2018
Other offices · unset to 0.0
Mar 13, 2017 to Feb 5, 2018
Accounts · 8 to 4
Mar 10, 2016 to Mar 13, 2017
Advisory employees · 9 to 7
Mar 10, 2016 to Mar 13, 2017
Employees · 18 to 16
Mar 10, 2016 to Mar 13, 2017
Private funds · 2 to 1
Mar 10, 2016 to Mar 13, 2017
Discretionary RAUM · $830M to $611M
Mar 10, 2016 to Mar 13, 2017
RAUM · $830M to $611M
Mar 10, 2016 to Mar 13, 2017
Employees · 19 to 18
Oct 15, 2015 to Mar 10, 2016
Private funds · 5 to 2
Oct 15, 2015 to Mar 10, 2016
Discretionary RAUM · $1.1B to $830M
Oct 15, 2015 to Mar 10, 2016
RAUM · $1.1B to $830M
Oct 15, 2015 to Mar 10, 2016
Accounts · 11 to 8
Oct 15, 2015 to Mar 10, 2016

Signals

3 dated events

D••••• H•••• C•••••• •••• K•••• L•••••• reported RAUM $16.5M, down 96% from $378.5M (2019-03-18 to 2020-03-19)
Mar 19, 2020 · RAUM change · derived
D••••• H•••• C•••••• •••• K•••• L•••••• reported RAUM $378.5M, down 43% from $659.1M (2018-03-16 to 2019-03-18)
Mar 18, 2019 · RAUM change · derived
D••••• H•••• C•••••• •••• K•••• L•••••• filed its initial SEC registration (Form ADV)
Jan 9, 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.

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