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Former SEC-registered adviser

K••••• V•••••••

Former SEC-registered adviserDenver, ColoradoCRD 215514SEC 801-104473IAPD
Legal name K••••• V••••••• L••
Latest filing Mar 30, 2020
First filing on the tape Jul 22, 2015 · 8 filings
RAUM
$676M
reported, Item 5.F
Discretionary
0.0%
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
36
31 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$676M gross assets
History
8 filings and snapshots on the tape
RAUM$676M as of Mar 30, 2020
Mar 22, 2016$500M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 22, 20160 then
Employees (5.A)36 as of Mar 30, 2020
Mar 22, 20166 then
Private funds1 as of Mar 30, 2020
Mar 22, 20161 then
RAUM +5.5% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$676MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+5.5%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
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)
  • 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$676M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•• O•• • G•• C•••••• P•••••••• L••Private Equity Fund$676M1Jul 22, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• J•••••• R•••••• · Chief Operating Officercontrol
        since 03/2019 · owns 25% to 50%
      • K•••••• C••••• P••••• · Chief Executive Officercontrol
        since 03/2019 · owns 50% to 75%
      • K•••••• R••••••• A•• · Chief Administrative Officer / Membercontrol
        since 06/2014 · owns 50% to 75%
      • L••••••• L•••••• · Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      • K••••• C•••••• P••••••• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 22 to 31
        May 3, 2019 to Mar 30, 2020
      • Employees · 28 to 36
        May 3, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $641M to $676M
        May 3, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $641M to $676M
        May 3, 2019 to Mar 30, 2020
      • RAUM · $641M to $676M
        May 3, 2019 to Mar 30, 2020
      • Advisory employees · 12 to 22
        Mar 30, 2018 to Mar 26, 2019
      • Employees · 14 to 28
        Mar 30, 2018 to Mar 26, 2019
      • Discretionary RAUM · $522M to $0
        Mar 30, 2018 to Mar 26, 2019
      • Non-discretionary RAUM · $0 to $641M
        Mar 30, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $522M to $641M
        Mar 30, 2018 to Mar 26, 2019
      • RAUM · $522M to $641M
        Mar 30, 2018 to Mar 26, 2019
      • Related adviser · true to false
        Mar 30, 2018 to Mar 26, 2019
      • Advisory employees · 5 to 12
        Mar 23, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 23, 2017 to Mar 30, 2018
      • Employees · 9 to 14
        Mar 23, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 23, 2017 to Mar 30, 2018
      • Discretionary RAUM · $500M to $522M
        Mar 23, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 522000000.0
        Mar 23, 2017 to Mar 30, 2018
      • RAUM · $500M to $522M
        Mar 23, 2017 to Mar 30, 2018
      • Advisory employees · 4 to 5
        Jan 13, 2017 to Mar 23, 2017
      • Custody of client assets · true to false
        Jan 13, 2017 to Mar 23, 2017
      • Employees · 6 to 9
        Jan 13, 2017 to Mar 23, 2017
      • HQ city · BROOMFIELD to DENVER
        Mar 22, 2016 to Jan 13, 2017
      • Employees · 5 to 6
        Jul 22, 2015 to Mar 22, 2016
      Signals
      4 dated events
      • Lindsay Larrick (Chief Compliance Officer) appeared on Schedule A of K••••• V•••••••
        Mar 26, 2019 · Control person joined · fact
      • Sao Ethan Ngo (Limited Partner - K••••• C•••••• P••••••• L•) no longer on Schedule A of K••••• V••••••• (listed 2018-03-30, absent 2019-03-26)
        Mar 26, 2019 · Control person left · inference
      • Kelly Kathleen Neuheardt (Chief Compliance Officer) no longer on Schedule A of K••••• V••••••• (listed 2018-03-30, absent 2019-03-26)
        Mar 26, 2019 · Control person left · inference
      • K••••• V••••••• filed its initial SEC registration (Form ADV)
        Jul 22, 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