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

C•••••• M•••••• A•••••• P•••••••

Former SEC-registered adviserNew York, New YorkCRD 175503SEC 801-88180IAPD
Legal name C•••••• M•••••• A•••••• • A•••••••• P•••••••• L••
Latest filing Mar 30, 2018
First filing on the tape Mar 31, 2015 · 10 filings
RAUM
$9.3M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$9.3M as of Mar 30, 2018
Mar 30, 2016$36.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20160 then
Employees (5.A)4 as of Mar 30, 2018
Mar 30, 20166 then
Private funds: no history
RAUM -46% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
$2.3MderivedRAUM 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
-46%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
selection of other advisers, 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
  • 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
  • Pooled investment vehicles$9.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • P••••••• J••••• A• · President & Chief Compliance Officercontrol
        since 11/2015 · owns less than 5%
      • S•••••• K••••••• A••••• · Chairman & Cio
        since 03/2014 · owns less than 5%
      Entity owners
      • K••••• O••••••• L•• · Managing Member
        direct · owns 75% or more
      • B••••• T•••• · Member
        indirect · owns 75% or more of K••••• O••••••• L••
      • C••••••••• T•••• C•••••• · Trustee
        indirect · owns F of B••••• T••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Mar 29, 2017 to Mar 30, 2018
      • Advisory employees · 5 to 3
        Mar 29, 2017 to Mar 30, 2018
      • Advisory activities · 1 to 2
        Mar 29, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 29, 2017 to Mar 30, 2018
      • Assets in custody · $17.1M to $0
        Mar 29, 2017 to Mar 30, 2018
      • Custody of client assets · true to false
        Mar 29, 2017 to Mar 30, 2018
      • Employees · 6 to 4
        Mar 29, 2017 to Mar 30, 2018
      • Financial planning clients · unset to 0
        Mar 29, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $17.1M to $9.3M
        Mar 29, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 9283145.0
        Mar 29, 2017 to Mar 30, 2018
      • RAUM · $17.1M to $9.3M
        Mar 29, 2017 to Mar 30, 2018
      • Accounts · 12 to 5
        Jun 21, 2016 to Mar 29, 2017
      • Assets in custody · $36.6M to $17.1M
        Jun 21, 2016 to Mar 29, 2017
      • Discretionary RAUM · $36.6M to $17.1M
        Jun 21, 2016 to Mar 29, 2017
      • RAUM · $36.6M to $17.1M
        Jun 21, 2016 to Mar 29, 2017
      • Accounts · 5 to 12
        Nov 23, 2015 to Mar 30, 2016
      • BD registered reps · 1 to 0
        Nov 23, 2015 to Mar 30, 2016
      • Assets in custody · $48.6M to $36.6M
        Nov 23, 2015 to Mar 30, 2016
      • Employees · 7 to 6
        Nov 23, 2015 to Mar 30, 2016
      • Discretionary RAUM · $48.6M to $36.6M
        Nov 23, 2015 to Mar 30, 2016
      • RAUM · $48.6M to $36.6M
        Nov 23, 2015 to Mar 30, 2016
      • Assets in custody · $168M to $48.6M
        Apr 30, 2015 to Oct 30, 2015
      • Discretionary RAUM · $168M to $48.6M
        Apr 30, 2015 to Oct 30, 2015
      • RAUM · $168M to $48.6M
        Apr 30, 2015 to Oct 30, 2015
      • Succession · true to false
        Mar 31, 2015 to Apr 30, 2015
      Signals
      2 dated events
      • C•••••• M•••••• A•••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 31, 2015 · Succession (Item 4) · fact
      • C•••••• M•••••• A•••••• P••••••• filed its initial SEC registration (Form ADV)
        Mar 31, 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