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

A•••• I••••••••• H••• K••• L••••••

Former SEC-registered adviserH••• K•••, CRD 171241SEC 801-106605IAPD
Latest filing Mar 22, 2017
First filing on the tape Aug 26, 2015 · 8 filings
RAUM
$124M
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
14
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$29.9M gross assets
History
8 filings and snapshots on the tape
RAUM$124M as of Mar 22, 2017
Mar 30, 2016$715M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2017
Mar 30, 20160 then
Employees (5.A)14 as of Mar 22, 2017
Mar 30, 201629 then
Private funds: 2
RAUM -83% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2017; 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
$24.7MderivedRAUM 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
-83%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 businesses and institutions, 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)
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
5reported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• G•••••• F••• ••••••• L•••no longer reportedHedge Fund$84.0M6May 1, 2014
      A•••• P•••• F••• ••••••• L•••no longer reportedHedge Fund$34.1M2May 1, 2014
      A•••• G•••••• F••• ••••••• L••Hedge Fund$29.9M1Mar 11, 2016
      A•••• I•••••••• A••• P••••••Hedge Fund$01Mar 11, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• B•••••• A•••• · Chief Compliance Officercontrol
        since 03/2017 · owns less than 5%
      • N••••• F•••••• A••• · Cio And Directorcontrol
        since 06/2013 · owns less than 5%
      • X•••••• D•••••• A•••••• · Executive Directorcontrol
        since 07/2012 · owns less than 5%
      Entity owners
      • A•••• A•••• M••••••••• ••••••• L••• · Sole Owner Of A•••• I••••••••• H••• K••• L••••••
        direct · owns 75% or more
      • A•••• C•••••• I••••••••• C•••••• K••••••• · Sole Owner
        indirect · owns 75% or more of A•••• A•••• M••••••••• ••••••• L•••
      Related persons
      Schedule D 7.A
      • A•••• A•••• M••••••••• ••••••• L•••
        investment adviserbankpooled vehicle sponsory
      Advisers that list A•••• I••••••••• H••• K••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 5
        Nov 9, 2016 to Mar 22, 2017
      • Advisory employees · 13 to 5
        Nov 9, 2016 to Mar 22, 2017
      • Employees · 28 to 14
        Nov 9, 2016 to Mar 22, 2017
      • Discretionary RAUM · $715M to $124M
        Nov 9, 2016 to Mar 22, 2017
      • RAUM · $715M to $124M
        Nov 9, 2016 to Mar 22, 2017
      • Private funds · unset to 2
        Aug 12, 2016 to Nov 9, 2016
      • Advisory employees · 19 to 13
        Mar 30, 2016 to May 16, 2016
      • Employees · 29 to 28
        Mar 30, 2016 to May 16, 2016
      • Accounts · 8 to 11
        Sep 9, 2015 to Mar 30, 2016
      • Advisory employees · 15 to 19
        Sep 9, 2015 to Mar 30, 2016
      • Advisory activities · 1 to 2
        Sep 9, 2015 to Mar 30, 2016
      • Employees · 22 to 29
        Sep 9, 2015 to Mar 30, 2016
      • Private funds · 2 to unset
        Sep 9, 2015 to Mar 30, 2016
      • Discretionary RAUM · $736M to $715M
        Sep 9, 2015 to Mar 30, 2016
      • RAUM · $736M to $715M
        Sep 9, 2015 to Mar 30, 2016
      • Related adviser · false to true
        Sep 9, 2015 to Mar 30, 2016
      • Private funds · 4 to 2
        Aug 26, 2015 to Sep 9, 2015
      Signals
      1 dated events
      • A•••• I••••••••• H••• K••• L•••••• filed its initial SEC registration (Form ADV)
        Aug 26, 2015 · 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