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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SEC-registered adviser
B••••••• K•• A•••• M••••••••• L••••••
Latest filing Mar 24, 2026
First filing on the tape Jun 30, 2015 · 20 filings
SEC status approved since Jul 13, 2015
RAUM
$120M
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
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$120M as of Mar 24, 2026
Mar 30, 2016$280M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 30, 20160 then
Employees (5.A)6 as of Mar 24, 2026
Mar 30, 201610 then
Private funds1 as of Mar 24, 2026
Mar 30, 20162 then
RAUM -7.8% over the last fiscal year-8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; 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
- $120MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.8%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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$120M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• K•• I••••••••• L• | Private Equity Fund | $142M | 2 | Mar 30, 2015 |
| J••••••• I••••••••• L••••••no longer reported | Private Equity Fund | $7.6M | 100 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• M•••• H•••••• · Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- E••••• A•••••• S•••••• · Directorcontrolsince 05/2014 · owns less than 5%
- W••••• P•••••••• C•••••• · Directorcontrolsince 08/2013 · owns less than 5%
- Y•••• B••••• H••• S••• · Directorcontrolsince 07/2024 · owns less than 5%
- Y•••• B••••• H••• S••• · Membercontrolsince 07/2024 · owns 75% or more of B••••••• C•••••• M••••••••• L••
Entity owners
- B••••••• C•••••• M••••••••• L•• · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••••••• K•• A•••• M••••••••• L••investment advisernRAUM $120M
Advisers that list B••••••• K•• A•••• M••••••••• L•••••• as a related person
- 295209 n
Offices
Schedule D 1.F, the 25 largest
- Charleston, SC3 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $130M to $120MMar 24, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $130M to $120MMar 24, 2025 to Mar 24, 2026
- RAUM · $130M to $120MMar 24, 2025 to Mar 24, 2026
- Advisory employees · 11 to 6Aug 9, 2024 to Mar 24, 2025
- Employees · 11 to 6Aug 9, 2024 to Mar 24, 2025
- Financial planning clients · unset to Aug 9, 2024 to Mar 24, 2025
- HQ state · unset to Aug 9, 2024 to Mar 24, 2025
- Discretionary RAUM · $142M to $130MAug 9, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $142M to $130MAug 9, 2024 to Mar 24, 2025
- RAUM · $142M to $130MAug 9, 2024 to Mar 24, 2025
- Advisory employees · 10 to 11Apr 13, 2023 to Mar 26, 2024
- Other offices · 3 to 1Apr 13, 2023 to Mar 26, 2024
- Discretionary RAUM · $159M to $142MApr 13, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $159M to $142MApr 13, 2023 to Mar 26, 2024
- RAUM · $159M to $142MApr 13, 2023 to Mar 26, 2024
- Advisory employees · 12 to 10Mar 23, 2022 to Mar 29, 2023
- Employees · 12 to 11Mar 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $205M to $159MMar 23, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $205M to $159MMar 23, 2022 to Mar 29, 2023
- RAUM · $205M to $159MMar 23, 2022 to Mar 29, 2023
- Accounts · 2 to 1Nov 5, 2021 to Mar 23, 2022
- Advisory employees · 11 to 12Nov 5, 2021 to Mar 23, 2022
- Pooled vehicle clients · 2 to 1Nov 5, 2021 to Mar 23, 2022
- Employees · 11 to 12Nov 5, 2021 to Mar 23, 2022
- Private funds · 2 to 1Nov 5, 2021 to Mar 23, 2022
- Discretionary RAUM · $184M to $205MNov 5, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $184M to $205MNov 5, 2021 to Mar 23, 2022
- RAUM · $184M to $205MNov 5, 2021 to Mar 23, 2022
- Discretionary RAUM · $181M to $184MApr 29, 2020 to Mar 23, 2021
- Non-discretionary RAUM · $7.5M to $0Apr 29, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $188M to $184MApr 29, 2020 to Mar 23, 2021
- RAUM · $188M to $184MApr 29, 2020 to Mar 23, 2021
- Other offices · 2 to 3Mar 27, 2019 to Mar 18, 2020
- Discretionary RAUM · $200M to $181MMar 27, 2019 to Mar 18, 2020
- Non-discretionary RAUM · $10.1M to $7.5MMar 27, 2019 to Mar 18, 2020
- Pooled vehicle RAUM · $210M to $188MMar 27, 2019 to Mar 18, 2020
- RAUM · $210M to $188MMar 27, 2019 to Mar 18, 2020
- Advisory employees · 8 to 11Oct 25, 2018 to Mar 27, 2019
- Employees · 10 to 11Oct 25, 2018 to Mar 27, 2019
- Discretionary RAUM · $172M to $200MOct 25, 2018 to Mar 27, 2019
Signals
5 dated events
- J••••• J••• S••••••• (Chief Investment Officer And Director) no longer on Schedule A of B••••••• K•• A•••• M••••••••• L•••••• (listed 2024-03-26, absent 2024-08-09)Aug 9, 2024 · Control person left · inference
- Hong Shun Billy Yuen (Director) appeared on Schedule A of B••••••• K•• A•••• M••••••••• L••••••Aug 9, 2024 · Control person joined · fact
- Hong Shun Billy Yuen (Chief Executive Officer And Risk Officer Of Relying Adviser) no longer on Schedule A of B••••••• K•• A•••• M••••••••• L•••••• (listed 2022-03-23, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- W. Richard Fields (Director And Chairman Of The Board Of Registrant) no longer on Schedule A of B••••••• K•• A•••• M••••••••• L•••••• (listed 2019-03-27, absent 2020-03-18)Mar 18, 2020 · Control person left · inference
- J••••••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)Jun 30, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••••• K•• A•••• M••••••••• L•••••• · Private Equityshared crd · organization
- B••••••• K•• A•••• M••••••••• L•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 44-1481-726-034reportedpublic record, Form ADV, Mar 24, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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