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RIA Intelligence

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K•••• L••• A•••• M••••••••• •••••••• C••• L•••

Institutional managerSEC-registered· New York, New York

Institutional manager, based in New York, New York, reporting $1.5B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$1.5B
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
+1.4%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 174341 · SEC 801-80868 · 29 filingsShow
CRD 174341SEC 801-80868First filing on the tape Jan 12, 2015, latest May 1, 2026SEC status approved since Jan 28, 2015IAPD
RAUM
$1.5B
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.5B as of May 1, 2026
Mar 9, 2016$251M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Mar 9, 20160 then
Employees (5.A)4 as of May 1, 2026
Mar 9, 20162 then
Private funds: no history
RAUM +1.4% over the last fiscal year+4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 2026; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
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
$1.5BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
+1.4%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$1.5B100%
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 AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••• H•• S••• · Presidentcontrol
        since 01/2024 · owns less than 5%
      • S••• J•••••• · Chief Compliance Officercontrol
        since 10/2023 · owns less than 5%
      • S•••• C•••••••• · Shareholder
        since 06/2013 · owns 25% to 50% of K•••• L••• I•••••••• C••• L•••
      Entity owners
      • K•••• L••• I•••••••• C••• L••• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • K•••• L••• I•••••••• C••• L•••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Jan 6, 2026 to Mar 27, 2026
      • Employees · 5 to 4
        Jan 6, 2026 to Mar 27, 2026
      • Discretionary RAUM · $1.5B to $1.5B
        Jan 6, 2026 to Mar 27, 2026
      • RAUM · $1.5B to $1.5B
        Jan 6, 2026 to Mar 27, 2026
      • Advisory employees · 3 to 5
        Mar 28, 2025 to Jan 6, 2026
      • Employees · 3 to 5
        Mar 28, 2025 to Jan 6, 2026
      • Financial planning clients · unset to
        Mar 27, 2024 to Mar 28, 2025
      • Discretionary RAUM · $1.4B to $1.5B
        Mar 27, 2024 to Mar 28, 2025
      • RAUM · $1.4B to $1.5B
        Mar 27, 2024 to Mar 28, 2025
      • Advisory employees · 2 to 3
        Nov 6, 2023 to Mar 27, 2024
      • Employees · 2 to 3
        Nov 6, 2023 to Mar 27, 2024
      • Discretionary RAUM · $1.3B to $1.4B
        Nov 6, 2023 to Mar 27, 2024
      • RAUM · $1.3B to $1.4B
        Nov 6, 2023 to Mar 27, 2024
      • Employees · 3 to 2
        Oct 16, 2023 to Nov 6, 2023
      • Employees · 4 to 3
        Sep 27, 2022 to Mar 28, 2023
      • Discretionary RAUM · $2.2B to $1.3B
        Sep 27, 2022 to Mar 28, 2023
      • RAUM · $2.2B to $1.3B
        Sep 27, 2022 to Mar 28, 2023
      • Discretionary RAUM · $2.8B to $2.2B
        Jan 3, 2022 to Mar 28, 2022
      • RAUM · $2.8B to $2.2B
        Jan 3, 2022 to Mar 28, 2022
      • Advisory employees · 4 to 2
        Jan 12, 2021 to Mar 28, 2021
      • Employees · 6 to 4
        Jan 12, 2021 to Mar 28, 2021
      • Discretionary RAUM · $3.0B to $2.8B
        Jan 12, 2021 to Mar 28, 2021
      • RAUM · $3.0B to $2.8B
        Jan 12, 2021 to Mar 28, 2021
      • Advisory employees · 3 to 4
        Jan 6, 2020 to Mar 28, 2020
      • Employees · 4 to 6
        Jan 6, 2020 to Mar 28, 2020
      • Organization form · Limited Liability Company to Corporation
        Jan 6, 2020 to Mar 28, 2020
      • Discretionary RAUM · $2.9B to $3.0B
        Jan 6, 2020 to Mar 28, 2020
      • RAUM · $2.9B to $3.0B
        Jan 6, 2020 to Mar 28, 2020
      • Related adviser · false to true
        Jan 6, 2020 to Mar 28, 2020
      • Related broker-dealer · false to true
        Jan 6, 2020 to Mar 28, 2020
      • Advisory employees · 4 to 3
        Nov 20, 2018 to Mar 21, 2019
      • Employees · 5 to 4
        Nov 20, 2018 to Mar 21, 2019
      • Discretionary RAUM · $2.4B to $2.9B
        Nov 20, 2018 to Mar 21, 2019
      • RAUM · $2.4B to $2.9B
        Nov 20, 2018 to Mar 21, 2019
      • Financial planning clients · 0 to unset
        Oct 25, 2017 to Mar 23, 2018
      • Other offices · 1 to 0
        Oct 25, 2017 to Mar 23, 2018
      • Discretionary RAUM · $2.4B to $2.4B
        Oct 25, 2017 to Mar 23, 2018
      • RAUM · $2.4B to $2.4B
        Oct 25, 2017 to Mar 23, 2018
      • Advisory employees · 2 to 4
        Mar 10, 2017 to Oct 25, 2017
      • Employees · 3 to 5
        Mar 10, 2017 to Oct 25, 2017
      Signals
      18 dated events
      • ••• Locked
        May 1, 2026 · ria principal change · fact
      • ••• Locked
        May 1, 2026 · Control person left · inference
      • ••• Locked
        May 1, 2026 · Control person joined · fact
      • ••• Locked
        May 1, 2026 · ria principal change · derived
      • ••• Locked
        Mar 27, 2024 · Control person joined · fact
      • ••• Locked
        Mar 27, 2024 · Control person left · inference
      • ••• Locked
        Oct 16, 2023 · Control person joined · fact
      • ••• Locked
        Mar 28, 2023 · RAUM change · derived
      • ••• Locked
        Sep 27, 2022 · Control person left · inference
      • ••• Locked
        Jan 3, 2022 · Control person left · inference
      • ••• Locked
        Jan 3, 2022 · Control person joined · fact
      • ••• Locked
        Mar 28, 2021 · Control person left · inference
      • ••• Locked
        Mar 28, 2021 · Control person joined · fact
      • ••• Locked
        Jan 12, 2021 · Control person left · inference
      • ••• Locked
        Jan 12, 2021 · Control person joined · fact
      • ••• Locked
        Jan 6, 2020 · Control person joined · fact
      • ••• Locked
        Jan 6, 2020 · Control person left · inference
      • ••• Locked
        Jan 12, 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, May 1, 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
      Institutional managerderiveda 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