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••• A•••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 174469SEC 801-80933IAPD
Latest filing Mar 18, 2019
First filing on the tape Jan 29, 2015 · 7 filings
RAUM
$258M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$258M gross assets
History
7 filings and snapshots on the tape
RAUM$258M as of Mar 18, 2019
Mar 30, 2016$171M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2019
Mar 30, 20160 then
Employees (5.A)6 as of Mar 18, 2019
Mar 30, 20167 then
Private funds2 as of Mar 18, 2019
Mar 30, 20162 then
RAUM +10% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2019; 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
$51.7MderivedRAUM 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
+10%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
Custody
$258M, 5 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • Pooled investment vehicles$258M100%
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
$258M for 5 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K••• G••••• O••••••••• M••••• F•••• L•Hedge Fund$258M28Jun 3, 2015
      K••• C• S••• L•Private Equity Fund$00Jun 3, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• B••••••• J••••• · Chief Financial Officercontrol
        since 07/2014 · owns less than 5%
      • S•••• G•••••• B••••••• · Chief Compliance Officer, Chief Operating Officercontrol
        since 07/2014 · owns less than 5%
      • S••••• M••••• N•• · Managing Membercontrol
        since 07/2014 · owns 75% or more of K••• A•••• M••••••••• G•• L••
      Entity owners
      • K••• A•••• M••••••••• G•• L•• · General Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • K••• A•••• M••••••••• G•• L••
        pooled vehicle sponsory
      • K••• G•• L••
        bankpooled vehicle sponsorn
      • K••• S•• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 5
        Mar 23, 2018 to Mar 18, 2019
      • Pooled vehicle clients · 7 to 5
        Mar 23, 2018 to Mar 18, 2019
      • Assets in custody · $234M to $258M
        Mar 23, 2018 to Mar 18, 2019
      • Discretionary RAUM · $234M to $258M
        Mar 23, 2018 to Mar 18, 2019
      • Pooled vehicle RAUM · $234M to $258M
        Mar 23, 2018 to Mar 18, 2019
      • RAUM · $234M to $258M
        Mar 23, 2018 to Mar 18, 2019
      • Accounts · 6 to 7
        Mar 25, 2017 to Mar 23, 2018
      • Advisory employees · 5 to 4
        Mar 25, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 7.0
        Mar 25, 2017 to Mar 23, 2018
      • Assets in custody · $180M to $234M
        Mar 25, 2017 to Mar 23, 2018
      • Employees · 7 to 6
        Mar 25, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Mar 25, 2017 to Mar 23, 2018
      • Discretionary RAUM · $180M to $234M
        Mar 25, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 234132000.0
        Mar 25, 2017 to Mar 23, 2018
      • RAUM · $180M to $234M
        Mar 25, 2017 to Mar 23, 2018
      • Accounts · 5 to 6
        Mar 30, 2016 to Mar 25, 2017
      • Assets in custody · $171M to $180M
        Mar 30, 2016 to Mar 25, 2017
      • Discretionary RAUM · $171M to $180M
        Mar 30, 2016 to Mar 25, 2017
      • RAUM · $171M to $180M
        Mar 30, 2016 to Mar 25, 2017
      • Assets in custody · $158M to $171M
        Jun 3, 2015 to Mar 30, 2016
      • Discretionary RAUM · $158M to $171M
        Jun 3, 2015 to Mar 30, 2016
      • RAUM · $158M to $171M
        Jun 3, 2015 to Mar 30, 2016
      • Related bank · false to true
        Jun 3, 2015 to Mar 30, 2016
      • Accounts · 0 to 5
        Jan 29, 2015 to Jun 3, 2015
      • Advisory employees · 4 to 5
        Jan 29, 2015 to Jun 3, 2015
      • Assets in custody · unset to 157500000.0
        Jan 29, 2015 to Jun 3, 2015
      • Custody of client assets · false to true
        Jan 29, 2015 to Jun 3, 2015
      • Employees · 6 to 7
        Jan 29, 2015 to Jun 3, 2015
      • Private funds · unset to 2
        Jan 29, 2015 to Jun 3, 2015
      • Discretionary RAUM · $0 to $158M
        Jan 29, 2015 to Jun 3, 2015
      • RAUM · $0 to $158M
        Jan 29, 2015 to Jun 3, 2015
      Signals
      1 dated events
      • K••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Jan 29, 2015 · 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