DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

K••••• P•••••••• I••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 226658SEC 801-100359website IAPD

Latest filing Mar 23, 2026

First filing on the tape Jun 3, 2015 · 22 filings

SEC status approved since Jun 22, 2015

RAUM

$31.4M

reported, Item 5.F

Discretionary

26%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$31.4M as of Mar 23, 2026

Mar 30, 2016$25.5M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 23, 2026

Mar 30, 20160 then

Employees (5.A)2 as of Mar 23, 2026

Mar 30, 20166 then

Private funds1 as of Mar 20, 2024

Mar 30, 20161 then

RAUM -2.3% over the last fiscal year-23% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 23, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)

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: $15.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 26%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: -2.3%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 feesreportedItem 5.E
Advisory activities: portfolio management for pooled vehicles, 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

is a broker-dealer (6.A.1)
has discretionary authority over which securities are bought or sold (8.C.1)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$31.4M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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 departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••• I•••••••••	Other Private Fund	$34.0M	1	Mar 24, 2021
T•• S•••••••• A••••••• S••••• O•• L••••••no longer reported	Hedge Fund	$7.1M	7	Mar 30, 2012
W•••• M•••••• T•••• I•• S••••• J•no longer reported	Hedge Fund	$4.1M	458	Mar 30, 2018

Owners and control persons

Schedule A and B, latest filing

P••••••• J••••• A• · President & Chief Compliance Officercontrol
since 11/2015 · owns less than 5%

Entity owners

K••••• O••••••• L•• · Owner
direct · owns 75% or more
B•••• D••• A•••••••• L•• · Member
indirect · owns 50% to 75% of K••••• O••••••• L••
R• C••••• A••••••• P•••••••• I••• · Member
indirect · owns 25% to 50% of K••••• O••••••• L••

Related persons

Schedule D 7.A

K••••• S••••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $7.1M to $8.2M
Mar 26, 2025 to Mar 23, 2026
Non-discretionary RAUM · $25.1M to $23.2M
Mar 26, 2025 to Mar 23, 2026
Pooled vehicle RAUM · $32.2M to $31.4M
Mar 26, 2025 to Mar 23, 2026
RAUM · $32.2M to $31.4M
Mar 26, 2025 to Mar 23, 2026
Accounts · 3 to 2
Mar 20, 2024 to Mar 26, 2025
Pooled vehicle clients · 3 to 2
Mar 20, 2024 to Mar 26, 2025
Employees · 3 to 2
Mar 20, 2024 to Mar 26, 2025
Financial planning clients · unset to
Mar 20, 2024 to Mar 26, 2025
Private funds · 1 to unset
Mar 20, 2024 to Mar 26, 2025
Discretionary RAUM · $5.3M to $7.1M
Mar 20, 2024 to Mar 26, 2025
Non-discretionary RAUM · $56.0M to $25.1M
Mar 20, 2024 to Mar 26, 2025
Pooled vehicle RAUM · $61.3M to $32.2M
Mar 20, 2024 to Mar 26, 2025
RAUM · $61.3M to $32.2M
Mar 20, 2024 to Mar 26, 2025
Discretionary RAUM · $6.5M to $5.3M
Nov 2, 2023 to Mar 20, 2024
Non-discretionary RAUM · $63.4M to $56.0M
Nov 2, 2023 to Mar 20, 2024
Pooled vehicle RAUM · $69.9M to $61.3M
Nov 2, 2023 to Mar 20, 2024
RAUM · $69.9M to $61.3M
Nov 2, 2023 to Mar 20, 2024
Discretionary RAUM · $49.9M to $6.5M
Mar 18, 2022 to Mar 28, 2023
Non-discretionary RAUM · $55.2M to $63.4M
Mar 18, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $105M to $69.9M
Mar 18, 2022 to Mar 28, 2023
RAUM · $105M to $69.9M
Mar 18, 2022 to Mar 28, 2023
Discretionary RAUM · $23.7M to $49.9M
May 27, 2021 to Mar 18, 2022
Non-discretionary RAUM · $57.3M to $55.2M
May 27, 2021 to Mar 18, 2022
Pooled vehicle RAUM · $81.0M to $105M
May 27, 2021 to Mar 18, 2022
RAUM · $81.0M to $105M
May 27, 2021 to Mar 18, 2022
Private funds · unset to 1
Nov 8, 2020 to Mar 24, 2021
Discretionary RAUM · $10.4M to $23.7M
Nov 8, 2020 to Mar 24, 2021
Non-discretionary RAUM · $56.0M to $57.3M
Nov 8, 2020 to Mar 24, 2021
Pooled vehicle RAUM · $66.4M to $81.0M
Nov 8, 2020 to Mar 24, 2021
RAUM · $66.4M to $81.0M
Nov 8, 2020 to Mar 24, 2021
Accounts · 2 to 3
Jul 24, 2019 to Mar 31, 2020
Advisory employees · 3 to 2
Jul 24, 2019 to Mar 31, 2020
Pooled vehicle clients · 2 to 3
Jul 24, 2019 to Mar 31, 2020
Employees · 4 to 3
Jul 24, 2019 to Mar 31, 2020
Discretionary RAUM · $0 to $10.4M
Jul 24, 2019 to Mar 31, 2020
Non-discretionary RAUM · $54.9M to $56.0M
Jul 24, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $54.9M to $66.4M
Jul 24, 2019 to Mar 31, 2020
RAUM · $54.9M to $66.4M
Jul 24, 2019 to Mar 31, 2020
Accounts · 3 to 2
Mar 27, 2019 to Jul 24, 2019
Pooled vehicle clients · 3 to 2
Mar 27, 2019 to Jul 24, 2019

Signals

2 dated events

Andrew Kenneth Shewer (Chairman & Chief Investment Officer) no longer on Schedule A of K••••• P•••••••• I••••••••• L•• (listed 2019-03-27, absent 2019-07-24)
Jul 24, 2019 · Control person left · inference
K••••• P•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
Jun 3, 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

Website: k•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-596-3480reportedpublic record, Form ADV, Mar 23, 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: Asset manager (funds and pooled vehicles)deriveda 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