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
K•••••• P•••••• F••• M••••••••• L•
Latest filing Feb 4, 2022
First filing on the tape Jun 5, 2013 · 29 filings
RAUM
$114M
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
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$110M gross assets
History
29 filings and snapshots on the tape
RAUM$114M as of Feb 4, 2022
Jan 31, 2014$96.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 4, 2022
Jan 31, 20140 then
Employees (5.A)8 as of Feb 4, 2022
Jan 31, 201412 then
Private funds2 as of Feb 4, 2022
Jan 31, 20142 then
RAUM +34% over the last fiscal year-5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 4, 2022; 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
- $28.4MderivedRAUM 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
- +34%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $70.4M, 2 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$108M95%
- Investment companies$5.2M4.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $70.4M for 2 clientsreported
- 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• G••••• C•••••• C•••••• M••••• F•••• L••no longer reported | Hedge Fund | $33.1M | 4 | Apr 24, 2018 |
| K•••••• C••••••• M••••• F•••• L•• | Hedge Fund | $31.6M | 1 | Feb 1, 2012 |
| K•••••• C••••••• F•••• L• | Hedge Fund | $25.8M | 20 | Feb 1, 2012 |
| R••••••• G••••• C•••••• C••••••• L•no longer reported | Hedge Fund | $9.6M | 5 | Apr 24, 2018 |
| R••••••• G••••• C•••••• C•••••• O••••••• L••no longer reported | Hedge Fund | $1.6M | 1 | Aug 15, 2019 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• G•••• M•••••• · Cfo/Chief Compliance Officercontrolsince 05/2013 · owns less than 5%
- K••••••• G•••••• A••••• · Chief Executive Officercontrolsince 05/2013 · owns less than 5%
- K••••••• G•••••• A••••• · Managing Membercontrolsince 05/2013 · owns 75% or more of K•••••• C••••••• L••
Entity owners
- K•••••• C••••••• L•• · General Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••• L•••• P••••••• L•investment advisern
- H••••••••• P•••••••• L••broker-dealern
- K•••••• G••••• L••pooled vehicle sponsorn
- K•••••• M••••••••• L•investment advisernRAUM $88.0M
Advisers that list K•••••• P•••••• F••• M••••••••• L• as a related person
- 118884 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $77.6M to $70.4MNov 9, 2021 to Feb 4, 2022
- Discretionary RAUM · $131M to $114MNov 9, 2021 to Feb 4, 2022
- Pooled vehicle RAUM · $125M to $108MNov 9, 2021 to Feb 4, 2022
- RAUM · $131M to $114MNov 9, 2021 to Feb 4, 2022
- Assets in custody · $62.1M to $77.6MJan 27, 2021 to Nov 9, 2021
- HQ city · NEW YORK to unsetJan 27, 2021 to Nov 9, 2021
- HQ state · NY to unsetJan 27, 2021 to Nov 9, 2021
- Discretionary RAUM · $84.8M to $131MJan 27, 2021 to Nov 9, 2021
- Pooled vehicle RAUM · $82.3M to $125MJan 27, 2021 to Nov 9, 2021
- RAUM · $84.8M to $131MJan 27, 2021 to Nov 9, 2021
- Related bank · true to falseJan 27, 2021 to Nov 9, 2021
- Assets in custody · $59.6M to $62.1MOct 9, 2020 to Jan 27, 2021
- Discretionary RAUM · $88.8M to $84.8MOct 9, 2020 to Jan 27, 2021
- Pooled vehicle RAUM · $84.5M to $82.3MOct 9, 2020 to Jan 27, 2021
- RAUM · $88.8M to $84.8MOct 9, 2020 to Jan 27, 2021
- Accounts · 7 to 4Jan 22, 2020 to Oct 9, 2020
- Pooled vehicle clients · 6 to 3Jan 22, 2020 to Oct 9, 2020
- Assets in custody · $71.4M to $59.6MJan 22, 2020 to Oct 9, 2020
- Private funds · 5 to 2Jan 22, 2020 to Oct 9, 2020
- Discretionary RAUM · $96.0M to $88.8MJan 22, 2020 to Oct 9, 2020
- Pooled vehicle RAUM · $93.6M to $84.5MJan 22, 2020 to Oct 9, 2020
- RAUM · $96.0M to $88.8MJan 22, 2020 to Oct 9, 2020
- Assets in custody · $81.9M to $71.4MAug 15, 2019 to Jan 22, 2020
- Discretionary RAUM · $128M to $96.0MAug 15, 2019 to Jan 22, 2020
- Pooled vehicle RAUM · $121M to $93.6MAug 15, 2019 to Jan 22, 2020
- RAUM · $128M to $96.0MAug 15, 2019 to Jan 22, 2020
- Accounts · 6 to 7Mar 11, 2019 to Aug 15, 2019
- Pooled vehicle clients · 5 to 6Mar 11, 2019 to Aug 15, 2019
- Assets in custody · $109M to $81.9MMar 11, 2019 to Aug 15, 2019
- Private funds · 4 to 5Mar 11, 2019 to Aug 15, 2019
- Discretionary RAUM · $136M to $128MMar 11, 2019 to Aug 15, 2019
- Pooled vehicle RAUM · $132M to $121MMar 11, 2019 to Aug 15, 2019
- RAUM · $136M to $128MMar 11, 2019 to Aug 15, 2019
- Assets in custody · $85.6M to $109MDec 6, 2018 to Mar 5, 2019
- Employees · 10 to 8Dec 6, 2018 to Mar 5, 2019
- Discretionary RAUM · $125M to $136MDec 6, 2018 to Mar 5, 2019
- Pooled vehicle RAUM · $121M to $132MDec 6, 2018 to Mar 5, 2019
- RAUM · $125M to $136MDec 6, 2018 to Mar 5, 2019
- Assets in custody · $91.2M to $85.6MApr 24, 2018 to Dec 6, 2018
- Discretionary RAUM · $131M to $125MApr 24, 2018 to Dec 6, 2018
Signals
1 dated events
- K•••••• P•••••• F••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 5, 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