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•••• I••••••••• M••••••••• C••• L•••

Former SEC-registered adviserSeoul, CRD 173361SEC 801-80643IAPD
Latest filing Sep 8, 2021
First filing on the tape Nov 19, 2014 · 22 filings
RAUM
$58B
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
266
119 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$58B as of Feb 25, 2021
Mar 17, 2016$30B then
HNW client RAUM$0 as of Feb 25, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 25, 2021
Mar 17, 20160 then
Employees (5.A)266 as of Feb 25, 2021
Mar 17, 2016247 then
Private funds: no history
RAUM +31% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 8, 2021; 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
$39.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
47%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
+31%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, publications, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$30B52%
  • State and municipal entities$11B20%
  • Pension and profit-sharing plans$9.2B16%
  • Insurance companies$6.9B12%
  • Other investment advisers$366M0.6%
  • Banks and thrifts$1.2M0.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
1,481reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••• H••• R•• · Chief Executive Officercontrol
        since 01/2015 · owns less than 5%
      • K••• B••••• M• · Chief Marketing Officercontrol
        since 01/2016 · owns less than 5%
      • L••• S••• R• · Chief Operating Officercontrol
        since 01/2017 · owns less than 5%
      • P•••• G•••• J••• · Chief Compliance Officercontrol
        since 01/2021 · owns less than 5%
      Entity owners
      • K•••• I••••••••• • S••••••••• C••• L•• · Owner
        direct · owns 75% or more
      • K•••• I••••••••• H•••••• L••• · Owner
        indirect · owns 75% or more of K•••• I••••••••• • S••••••••• C••• L••
      Related persons
      Schedule D 7.A
      • K•••• A•••••••
        pooled vehicle sponsorn
      • K•••• I••••••••• A•• S••••••••• L•••
        broker-dealertrust companyy
      • K•••• I••••••••• C••••••
        pooled vehicle sponsorn
      • K•••• I••••••••• M••••• S•••••• B•••
        n
      • K•••• I••••••••• P•••••••
        pooled vehicle sponsorn
      • K•••• I••••••••• V•••• A•••• M•••••••••
        investment advisernRAUM $3.6B
      Advisers that list K•••• I••••••••• M••••••••• C••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Ho Chi Minh City, Vietnam9 employees
      • Shanghai, China7 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1,398 to 1,481
        Dec 3, 2020 to Feb 25, 2021
      • Advisory employees · 93 to 119
        Dec 3, 2020 to Feb 25, 2021
      • Pooled vehicle clients · 1,230 to 1,296
        Dec 3, 2020 to Feb 25, 2021
      • Discretionary RAUM · $44B to $58B
        Dec 3, 2020 to Feb 25, 2021
      • Pension RAUM · $7.0B to $9.2B
        Dec 3, 2020 to Feb 25, 2021
      • Pooled vehicle RAUM · $26B to $30B
        Dec 3, 2020 to Feb 25, 2021
      • RAUM · $44B to $58B
        Dec 3, 2020 to Feb 25, 2021
      • Accounts · 1,328 to 1,398
        Jul 8, 2019 to Mar 13, 2020
      • Advisory employees · 121 to 93
        Jul 8, 2019 to Mar 13, 2020
      • Pooled vehicle clients · 1,171 to 1,230
        Jul 8, 2019 to Mar 13, 2020
      • Employees · 263 to 266
        Jul 8, 2019 to Mar 13, 2020
      • Discretionary RAUM · $0 to $44B
        Jul 8, 2019 to Mar 13, 2020
      • Non-discretionary RAUM · $41B to $0
        Jul 8, 2019 to Mar 13, 2020
      • Pension RAUM · $6.3B to $7.0B
        Jul 8, 2019 to Mar 13, 2020
      • Pooled vehicle RAUM · $24B to $26B
        Jul 8, 2019 to Mar 13, 2020
      • RAUM · $41B to $44B
        Jul 8, 2019 to Mar 13, 2020
      • Accounts · 324 to 1,328
        Sep 10, 2018 to Mar 27, 2019
      • Advisory employees · 134 to 121
        Sep 10, 2018 to Mar 27, 2019
      • Corporate clients · 28 to 0
        Sep 10, 2018 to Mar 27, 2019
      • Pension plan clients · 14.0 to unset
        Sep 10, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 0 to 1,171
        Sep 10, 2018 to Mar 27, 2019
      • Employees · 260 to 263
        Sep 10, 2018 to Mar 27, 2019
      • Financial planning clients · 0 to unset
        Sep 10, 2018 to Mar 27, 2019
      • Discretionary RAUM · $35B to $0
        Sep 10, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $0 to $41B
        Sep 10, 2018 to Mar 27, 2019
      • Pension RAUM · $2.2B to $6.3B
        Sep 10, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $0 to $24B
        Sep 10, 2018 to Mar 27, 2019
      • RAUM · $35B to $41B
        Sep 10, 2018 to Mar 27, 2019
      • Corporate clients · 29 to 28
        Mar 29, 2018 to May 4, 2018
      • Accounts · 309 to 324
        Mar 29, 2017 to Mar 29, 2018
      • Advisory employees · 132 to 134
        Mar 29, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Corporate clients · unset to 29.0
        Mar 29, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 14.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 243 to 260
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 2.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $32B to $35B
        Mar 29, 2017 to Mar 29, 2018
      Signals
      5 dated events
      • Hae Man Yang (Chief Investment Officer) no longer on Schedule A of K•••• I••••••••• M••••••••• C••• L••• (listed 2020-12-03, absent 2021-02-25)
        Feb 25, 2021 · Control person left · inference
      • In Hee C••• (Chief Compliance Officer) no longer on Schedule A of K•••• I••••••••• M••••••••• C••• L••• (listed 2020-12-03, absent 2021-02-25)
        Feb 25, 2021 · Control person left · inference
      • K•••• I••••••••• M••••••••• C••• L••• reported RAUM $58.3B, up 31% from $44.5B (2020-12-03 to 2021-02-25)
        Feb 25, 2021 · RAUM change · derived
      • G•••• J••• P••• (Chief Compliance Officer) appeared on Schedule A of K•••• I••••••••• M••••••••• C••• L•••
        Feb 25, 2021 · Control person joined · fact
      • K•••• I••••••••• M••••••••• C••• L••• filed its initial SEC registration (Form ADV)
        Nov 19, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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