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Former SEC-registered adviser

K••••••• C•••••• L•

Former SEC-registered adviserHamilton, CRD 167826SEC 801-78819IAPD
Latest filing Jun 8, 2015
First filing on the tape Nov 12, 2013 · 7 filings
RAUM
$49.5M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$49,500 gross assets
History
7 filings and snapshots on the tape
RAUM$49.5M as of Mar 6, 2015
Mar 25, 2014$59.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2015
Mar 25, 20140 then
Employees (5.A)2 as of Mar 6, 2015
Mar 25, 20146 then
Private funds1 as of Mar 6, 2015
Mar 25, 20141 then
RAUM -16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 8, 2015; 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
$24.8MderivedRAUM 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
-16%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 vehicles, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
2reported
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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• R•••••• M••••• L•Hedge Fund$49,5003Nov 12, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••• M•••••••• A•• · Chief Investment Officer, Chief Compliance Officer And Managing Partnercontrol
        since 04/2013 · owns 75% or more
      • W••••••• M•••••••• A•• · Member And Sole Managercontrol
        since 04/2013 · owns 75% or more of K••••••• L••
      Entity owners
      • K••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • K••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 1
        Dec 18, 2014 to Mar 6, 2015
      • Employees · 6 to 2
        Dec 18, 2014 to Mar 6, 2015
      • HQ city · NEW YORK to HAMILTON
        Dec 18, 2014 to Mar 6, 2015
      • HQ state · NY to unset
        Dec 18, 2014 to Mar 6, 2015
      • Discretionary RAUM · $59.0M to $49.5M
        Dec 18, 2014 to Mar 6, 2015
      • RAUM · $59.0M to $49.5M
        Dec 18, 2014 to Mar 6, 2015
      • Related adviser · true to false
        Dec 18, 2014 to Mar 6, 2015
      • Advisory employees · 5 to 4
        Dec 11, 2013 to Mar 25, 2014
      • Custody of client assets · true to false
        Dec 11, 2013 to Mar 25, 2014
      • Employees · 8 to 6
        Dec 11, 2013 to Mar 25, 2014
      • Discretionary RAUM · $56.5M to $59.0M
        Dec 11, 2013 to Mar 25, 2014
      • RAUM · $56.5M to $59.0M
        Dec 11, 2013 to Mar 25, 2014
      Signals
      1 dated events
      • K••••••• C•••••• L• filed its initial SEC registration (Form ADV)
        Nov 12, 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