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

A•••• C••••••••• M•••••••• L••

Former SEC-registered adviserUniondale, New YorkCRD 166566SEC 801-77556IAPD
Latest filing Jan 3, 2017
First filing on the tape Jan 8, 2013 · 9 filings
RAUM
$2.7B
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
41
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2.7B as of Jan 3, 2017
Feb 7, 2013$473M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 3, 2017
Feb 7, 20130 then
Employees (5.A)41 as of Jan 3, 2017
Feb 7, 2013108 then
Private funds: no history
RAUM +332% over the last fiscal year+88% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 3, 2017; 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
$10.6MderivedRAUM 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
+332%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
250reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• I•••• P••• · Trusteecontrol
        since 04/1994 · owns F of I••• K•••••• G•••••• R••••••• A•••••• T••••
      • M•••••••• J••••• · Trusteecontrol
        since 04/1994 · owns F of The I••• K•••••• G•••••• R••••••• A•••••• T••••
      • M•••••••• J••••• · Trusteecontrol
        since 03/1994 · owns F of The I••• A•• L••• K•••••• F••••• T••••
      • B•••••• J•••• J••••• · General Counsel
        since 09/2009 · owns less than 5%
      • C••••••••• J•••• G••••• · Chief Operating Officer
        since 02/2012 · owns less than 5%
      • E•••••• P•••• A•••••• · Chief Financial Officer
        since 09/2005 · owns less than 5%
      • F•••••• L••• · Chief Compliance Officer
        since 12/2012 · owns less than 5%
      • K••••••• I•••• P••• · Chief Executive Officer, Member
        since 01/1995 · owns 25% to 50%
      Entity owners
      • A•••• M••••••••• L•• · Member
        direct · owns less than 5%
      • I••• A•• L••• K•••••• F••••• T•••• · Member
        direct · owns 25% to 50%
      • I••• K•••••• G•••••• R••••••• A•••••• T•••• · Member
        direct · owns less than 5%
      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 · 14 to 16
        Feb 10, 2016 to Jan 3, 2017
      • Employees · 100 to 41
        Feb 10, 2016 to Jan 3, 2017
      • Discretionary RAUM · $613M to $2.7B
        Feb 10, 2016 to Jan 3, 2017
      • RAUM · $613M to $2.7B
        Feb 10, 2016 to Jan 3, 2017
      • Accounts · 1 to 250
        Feb 10, 2016 to Jan 3, 2017
      • Discretionary RAUM · $542M to $613M
        Feb 5, 2015 to Feb 10, 2016
      • RAUM · $542M to $613M
        Feb 5, 2015 to Feb 10, 2016
      • Employees · 108 to 100
        Feb 4, 2014 to Feb 5, 2015
      • Discretionary RAUM · $0 to $542M
        Feb 4, 2014 to Feb 5, 2015
      • Non-discretionary RAUM · $400M to $0
        Feb 4, 2014 to Feb 5, 2015
      • RAUM · $400M to $542M
        Feb 4, 2014 to Feb 5, 2015
      • Discretionary RAUM · $473M to $0
        Feb 7, 2013 to Feb 4, 2014
      • Non-discretionary RAUM · $0 to $400M
        Feb 7, 2013 to Feb 4, 2014
      • RAUM · $473M to $400M
        Feb 7, 2013 to Feb 4, 2014
      • Employees · 110 to 108
        Jan 11, 2013 to Feb 7, 2013
      • Discretionary RAUM · $1.7B to $473M
        Jan 11, 2013 to Feb 7, 2013
      • RAUM · $1.7B to $473M
        Jan 11, 2013 to Feb 7, 2013
      Signals
      1 dated events
      • A•••• C••••••••• M•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 8, 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