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•••••••• C•••••• P••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 168487SEC 801-78395IAPD
Latest filing Mar 3, 2016
First filing on the tape Jul 26, 2013 · 8 filings
RAUM
$201M
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$201M gross assets
History
8 filings and snapshots on the tape
RAUM$201M as of Mar 3, 2016
Mar 6, 2014$215M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 3, 2016
Mar 6, 20140 then
Employees (5.A)7 as of Mar 3, 2016
Mar 6, 20146 then
Private funds1 as of Mar 3, 2016
Mar 6, 20141 then
RAUM -8.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 2016; 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
$67.1MderivedRAUM 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
-8.5%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
  • 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)
  • 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
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
3reported
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
      K•••••••• O••••••••• M••••• F•••• L•••Hedge Fund$201M22Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• K••••••• J••• · Chief Operating Officer, Chief Compliance Officercontrol
        since 09/2013 · owns less than 5%
      • P••••••••• T•• J••••• · Co-Managing Partner, Limited Partnercontrol
        since 02/2011 · owns 25% to 50%
      • T•••••• M••••••• B••••••• · Co-Managing Partner, Chief Investment Officer, Limited Partnercontrol
        since 02/2011 · owns 25% to 50%
      • T•••••• M••••••• B••••••• · Managercontrol
        since 02/2011 · owns 75% or more of K•••••••• G• L••
      Entity owners
      • K•••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • K•••••••• O••••••••• F••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        May 20, 2015 to Mar 3, 2016
      • Advisory activities · 2 to 1
        May 20, 2015 to Mar 3, 2016
      • Employees · 6 to 7
        May 20, 2015 to Mar 3, 2016
      • Discretionary RAUM · $272M to $201M
        May 20, 2015 to Mar 3, 2016
      • RAUM · $272M to $201M
        May 20, 2015 to Mar 3, 2016
      • Accounts · 3 to 4
        Mar 10, 2015 to May 20, 2015
      • Advisory activities · 1 to 2
        Mar 10, 2015 to May 20, 2015
      • Discretionary RAUM · $220M to $272M
        Mar 10, 2015 to May 20, 2015
      • RAUM · $220M to $272M
        Mar 10, 2015 to May 20, 2015
      • Discretionary RAUM · $215M to $220M
        Mar 6, 2014 to Mar 9, 2015
      • RAUM · $215M to $220M
        Mar 6, 2014 to Mar 9, 2015
      • Assets in custody · 0.0 to unset
        Oct 2, 2013 to Mar 6, 2014
      • Custody of client assets · true to false
        Oct 2, 2013 to Mar 6, 2014
      • Employees · 5 to 6
        Oct 2, 2013 to Mar 6, 2014
      • Discretionary RAUM · $115M to $215M
        Oct 2, 2013 to Mar 6, 2014
      • RAUM · $115M to $215M
        Oct 2, 2013 to Mar 6, 2014
      • Advisory employees · 3 to 4
        Jul 26, 2013 to Sep 26, 2013
      • Employees · 3 to 5
        Jul 26, 2013 to Sep 26, 2013
      Signals
      1 dated events
      • K•••••••• C•••••• P••••••• L• filed its initial SEC registration (Form ADV)
        Jul 26, 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