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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

K•• G•••• H••••••• •••• I••

Former SEC-registered adviserDallas, TexasCRD 168039SEC 801-78215IAPD
Latest filing Mar 5, 2024
First filing on the tape Jun 11, 2013 · 20 filings
SEC status approved since Jun 24, 2013
RAUM
$4.3B
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
10
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$4.3B as of Mar 5, 2024
Mar 31, 2014$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 5, 2024
Mar 31, 20140 then
Employees (5.A)10 as of Mar 5, 2024
Mar 31, 201411 then
Private funds: no history
RAUM +41% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 5, 2024; 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
$4.3BderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+41%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, otherreportedItem 5.E
Advisory activities
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
  • 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
  • Pooled investment vehicles$4.3B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • J••••••• S••••• N•• · Directorcontrol
        since 05/2010 · owns less than 5%
      • J••••••• S••••• N•• · Ownercontrol
        since 01/2014 · owns 75% or more of M••••••••• L•••
      • D••••• Y•••••• M••• · Chief Compliance Officer
        since 12/2021 · owns less than 5%
      Entity owners
      • K••• R••••••• ••• L•••••• · Owner
        direct · owns 75% or more
      • K•• L•• · Owner
        indirect · owns 75% or more of K••• R••••••• ••• L••••••
      • M••••••••• L••• · Owner
        indirect · owns 75% or more of K•• L••
      Related persons
      Schedule D 7.A
      Advisers that list K•• G•••• H••••••• •••• I•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom4 employees
      • Bayside Executive Park, West Bay Street, Nassau, Bahamas, The
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 10
        Dec 5, 2023 to Mar 5, 2024
      • Employees · 11 to 10
        Dec 5, 2023 to Mar 5, 2024
      • Discretionary RAUM · $3.8B to $0
        Dec 5, 2023 to Mar 5, 2024
      • Non-discretionary RAUM · $0 to $4.3B
        Dec 5, 2023 to Mar 5, 2024
      • Pooled vehicle RAUM · $3.8B to $4.3B
        Dec 5, 2023 to Mar 5, 2024
      • RAUM · $3.8B to $4.3B
        Dec 5, 2023 to Mar 5, 2024
      • Discretionary RAUM · $3.1B to $3.8B
        May 25, 2023 to Oct 18, 2023
      • Pooled vehicle RAUM · $3.1B to $3.8B
        May 25, 2023 to Oct 18, 2023
      • RAUM · $3.1B to $3.8B
        May 25, 2023 to Oct 18, 2023
      • Accounts · 4 to 1
        May 31, 2022 to Mar 31, 2023
      • Advisory employees · 9 to 8
        May 31, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 4 to 1
        May 31, 2022 to Mar 31, 2023
      • Employees · 12 to 11
        May 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $2.0B to $3.1B
        May 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $2.0B to $3.1B
        May 31, 2022 to Mar 31, 2023
      • RAUM · $2.0B to $3.1B
        May 31, 2022 to Mar 31, 2023
      • Employees · 13 to 12
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.0B to $2.0B
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $2.0B to $2.0B
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $2.0B to $2.0B
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 8 to 9
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 12 to 13
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.9B to $2.0B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $1.9B to $2.0B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $1.9B to $2.0B
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 1 to 4
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 1 to 4
        Mar 28, 2019 to Mar 30, 2020
      • Employees · 13 to 12
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $2.9B to $1.9B
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.9B to $1.9B
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $2.9B to $1.9B
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $2.5B to $2.9B
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $2.5B to $2.9B
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $2.5B to $2.9B
        Mar 29, 2018 to Mar 28, 2019
      • Advisory employees · 10 to 8
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 11 to 13
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 2.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.7B to $2.5B
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2501927029.0
        Mar 29, 2017 to Mar 29, 2018
      Signals
      6 dated events
      • K•• G•••• H••••••• •••• I•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $4.3B)
        Feb 3, 2025 · Left the SEC roster · derived
      • K•• G•••• H••••••• •••• I•• reported RAUM $3.1B, up 57% from $2.0B (2022-05-31 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • K•• G•••• H••••••• •••• I•• reported RAUM $1.9B, down 37% from $2.9B (2019-03-28 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • K•• G•••• H••••••• •••• I•• reported RAUM $2.5B, up 46% from $1.7B (2017-03-29 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • K•• G•••• H••••••• •••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 5, 2015 · Succession (Item 4) · fact
      • K•• G•••• H••••••• •••• L•• filed its initial SEC registration (Form ADV)
        Jun 11, 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