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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
K••••• C•••••• L••
Latest filing Mar 7, 2024
First filing on the tape Jun 10, 2015 · 18 filings
RAUM
$335M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
3.9%
$13.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$335M as of Mar 7, 2024
Mar 30, 2016$250M then
HNW client RAUM$13.2M as of Mar 7, 2024
Mar 21, 2022$11.2M then
State-registered IARs (5.B.3)0 as of Mar 7, 2024
Mar 30, 20160 then
Employees (5.A)1 as of Mar 7, 2024
Mar 30, 20161 then
Private funds: no history
RAUM +9.4% over the last fiscal year+2.3% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 7, 2024; 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
- $47.9MderivedRAUM 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
- +9.4%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 assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$322M96%
- High-net-worth individuals$13.2M3.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• S•••••••• F••••••• · Manager And Chief Compliance Officercontrolsince 04/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 1 to 0Jul 24, 2023 to Mar 7, 2024
- HNW RAUM · $11.9M to $13.2MJul 24, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $325M to $335MJul 24, 2023 to Mar 7, 2024
- RAUM · $325M to $335MJul 24, 2023 to Mar 7, 2024
- Accounts · 4 to 7Mar 16, 2023 to Jul 24, 2023
- Advisory activities · 4 to 3Mar 16, 2023 to Jul 24, 2023
- Pooled vehicle clients · 1.0 to unsetMar 16, 2023 to Jul 24, 2023
- HNW RAUM · $11.1M to $11.9MMar 16, 2023 to Jul 24, 2023
- Non-discretionary RAUM · $307M to $325MMar 16, 2023 to Jul 24, 2023
- Pooled vehicle RAUM · 295575000.0 to unsetMar 16, 2023 to Jul 24, 2023
- RAUM · $307M to $325MMar 16, 2023 to Jul 24, 2023
- Accounts · 10 to 4Mar 21, 2022 to Mar 16, 2023
- HNW RAUM · $11.2M to $11.1MMar 21, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $351M to $307MMar 21, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · $340M to $296MMar 21, 2022 to Mar 16, 2023
- RAUM · $351M to $307MMar 21, 2022 to Mar 16, 2023
- Accounts · 1 to 10Aug 24, 2021 to Mar 21, 2022
- Other offices · 0 to 1Aug 24, 2021 to Mar 21, 2022
- HNW RAUM · unset to 11200000.0Aug 24, 2021 to Mar 21, 2022
- Non-discretionary RAUM · $313M to $351MAug 24, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $313M to $340MAug 24, 2021 to Mar 21, 2022
- RAUM · $313M to $351MAug 24, 2021 to Mar 21, 2022
- Advisory activities · 3 to 4Mar 30, 2021 to Jun 16, 2021
- Advisory activities · 4 to 3Aug 4, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $292M to $313MAug 4, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $292M to $313MAug 4, 2020 to Mar 30, 2021
- RAUM · $292M to $313MAug 4, 2020 to Mar 30, 2021
- HQ city · PARIS to unsetMar 30, 2020 to Aug 4, 2020
- Other offices · 1 to 0Mar 30, 2020 to Aug 4, 2020
- Other offices · 0 to 1Oct 15, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $286M to $292MOct 15, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $286M to $292MOct 15, 2019 to Mar 30, 2020
- RAUM · $286M to $292MOct 15, 2019 to Mar 30, 2020
- HQ city · BERKELEY to PARISMay 24, 2019 to Oct 15, 2019
- HQ state · CA to unsetMay 24, 2019 to Oct 15, 2019
- Non-discretionary RAUM · $301M to $286MSep 19, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $301M to $286MSep 19, 2018 to Mar 26, 2019
- RAUM · $301M to $286MSep 19, 2018 to Mar 26, 2019
- Accounts · 2 to 1Mar 21, 2017 to Mar 7, 2018
- Pooled vehicle clients · unset to 1.0Mar 21, 2017 to Mar 7, 2018
Signals
1 dated events
- K••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jun 10, 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