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•• C•••••• L••
Latest filing Jun 25, 2018
First filing on the tape Nov 4, 2015 · 14 filings
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$179M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$187M as of Mar 28, 2018
Feb 19, 2016$105M then
HNW client RAUM: $141M
State-registered IARs (5.B.3)4 as of Mar 28, 2018
Feb 19, 20166 then
Employees (5.A)8 as of Mar 28, 2018
Feb 19, 20168 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jun 25, 2018; every figure names its basis
- RAUM per advisor
- $46.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $385,720derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $185MreportedItem 5.I
- Custody
- $24.8M, 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$141M75%
- Individuals$38.1M20%
- Corporations and businesses$7.9M4.2%
- Pension and profit-sharing plans$853,5710.5%
- Individual clients
- 125reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 486reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $24.8M for 5 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- J•••• B••••• H•••••• to C•••••• O•• I••••••••• I•••Dec 14, 2018 · RIA to RIA
- T••••• B•••••• S••••• to C•••••• O•• I••••••••• I•••Dec 14, 2018 · RIA to RIA
- B••••••• P•••• W•••• to F•••• A••••• A••••••• S•••••••• I•••Dec 14, 2018 · Other
- R••• W•••••• K••••• to C•••••• O•• I••••••••• I•••Dec 14, 2018 · RIA to RIA
Joined, latest
- J•••• B••••• H•••••• from F•••• A••••• A••••••• S•••••••• I•••Feb 9, 2017 · Other
- R••• W•••••• K••••• from F•••• A••••• A••••••• S•••••••• I•••Apr 19, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••• O•• I••••••••• I•••Dec 14, 2018 · Tulsa, Ok
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J••••• B••••• · Chief Compliance Officercontrolsince 07/2015 · owns less than 5%
- K•••••• R•••• W•••••• · Membercontrolsince 07/2015 · owns 50% to 75%
- S••••• L•••••• H••••••• · Membercontrolsince 07/2015 · owns 50% to 75%
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
- Accounts · 349 to 486Feb 13, 2017 to Mar 28, 2018
- Corporate clients · unset to 2.0Feb 13, 2017 to Mar 28, 2018
- HNW clients · unset to 45.0Feb 13, 2017 to Mar 28, 2018
- Individual clients · unset to 125.0Feb 13, 2017 to Mar 28, 2018
- Assets in custody · unset to 24787911.0Feb 13, 2017 to Mar 28, 2018
- Custody of client assets · false to trueFeb 13, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Feb 13, 2017 to Mar 28, 2018
- Discretionary RAUM · $153M to $187MFeb 13, 2017 to Mar 28, 2018
- HNW RAUM · unset to 140607244.0Feb 13, 2017 to Mar 28, 2018
- Individual RAUM · unset to 38057972.0Feb 13, 2017 to Mar 28, 2018
- Pension RAUM · unset to 853571.0Feb 13, 2017 to Mar 28, 2018
- RAUM · $153M to $187MFeb 13, 2017 to Mar 28, 2018
- Related broker-dealer · true to falseFeb 13, 2017 to Mar 28, 2018
- Wrap assets (manager) · unset to 0.0Feb 13, 2017 to Mar 28, 2018
- Wrap assets (sponsor) · unset to 0.0Feb 13, 2017 to Mar 28, 2018
- Accounts · 199 to 349Aug 18, 2016 to Feb 13, 2017
- Advisory employees · 5 to 4Aug 18, 2016 to Feb 13, 2017
- BD registered reps · 5 to 2Aug 18, 2016 to Feb 13, 2017
- Insurance-licensed employees · 4 to 1Aug 18, 2016 to Feb 13, 2017
- Financial planning clients · 0 to 1-10Aug 18, 2016 to Feb 13, 2017
- State-registered IARs · 6 to 4Aug 18, 2016 to Feb 13, 2017
- Discretionary RAUM · $105M to $153MAug 18, 2016 to Feb 13, 2017
- RAUM · $105M to $153MAug 18, 2016 to Feb 13, 2017
- Commission compensation · false to trueFeb 19, 2016 to May 23, 2016
- Accounts · 0 to 199Jan 11, 2016 to Feb 19, 2016
- Discretionary RAUM · $0 to $105MJan 11, 2016 to Feb 19, 2016
- RAUM · $0 to $105MJan 11, 2016 to Feb 19, 2016
Signals
1 dated events
- K•• C•••••• L•• filed its initial SEC registration (Form ADV)Nov 4, 2015 · ria f•••• adv filing · 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