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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SEC-registered adviser
K••••••••• C••••••
Legal name K••••••••• C•••••• L•
Latest filing Apr 1, 2026
First filing on the tape Mar 29, 2017 · 15 filings
SEC status approved since Apr 19, 2017
RAUM
$706M
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$706M as of Apr 1, 2026
Mar 22, 2018$327M then
HNW client RAUM$0 as of Apr 1, 2026
Mar 31, 2023$0 then
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 22, 20180 then
Employees (5.A)9 as of Apr 1, 2026
Mar 22, 20185 then
Private funds3 as of Apr 1, 2026
Mar 22, 20182 then
RAUM +42% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2026; 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
- $78.5MderivedRAUM 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
- +42%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 businesses and institutions, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$694M98%
- Corporations and businesses$11.8M1.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.0 related_bd=false related_bank=true 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K••••••••• F•••••• M••••• F••• L• | Hedge Fund | $305M | 30 | Mar 29, 2019 |
| K••••••••• P•••• M••••• F••• L• | Hedge Fund | $129M | 30 | Jun 20, 2016 |
| K••••••••• S••••••• M••••• F••• L• | Hedge Fund | $94.2M | 4 | Mar 29, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• C•••••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- N••••• N•••• · Limited Partner, Portfolio Managercontrolsince 04/2014 · owns 75% or more
- S•••••• S••••••• E••••• · Chief Financial Officercontrolsince 07/2020 · owns less than 5%
- N••••• N•••• · Managing Membercontrolsince 04/2014 · owns 75% or more of K••••••••• C•••••• L••
Entity owners
- K••••••••• C•••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- K••••••••• G• L•investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $496M to $706MMar 31, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $491M to $694MMar 31, 2025 to Apr 1, 2026
- RAUM · $496M to $706MMar 31, 2025 to Apr 1, 2026
- Accounts · 7 to 9Mar 29, 2024 to Mar 31, 2025
- Advisory activities · 1 to 2Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $436M to $496MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $436M to $491MMar 29, 2024 to Mar 31, 2025
- RAUM · $436M to $496MMar 29, 2024 to Mar 31, 2025
- Accounts · 6 to 7Jun 16, 2023 to Mar 29, 2024
- Advisory employees · 5 to 6Jun 16, 2023 to Mar 29, 2024
- Pooled vehicle clients · 6 to 7Jun 16, 2023 to Mar 29, 2024
- Private funds · 2 to 3Jun 16, 2023 to Mar 29, 2024
- Discretionary RAUM · $377M to $436MJun 16, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $377M to $436MJun 16, 2023 to Mar 29, 2024
- RAUM · $377M to $436MJun 16, 2023 to Mar 29, 2024
- Accounts · 9 to 6Mar 31, 2023 to Jun 16, 2023
- Pooled vehicle clients · 9 to 6Mar 31, 2023 to Jun 16, 2023
- Private funds · 3 to 2Mar 31, 2023 to Jun 16, 2023
- Discretionary RAUM · $405M to $377MMar 31, 2023 to Jun 16, 2023
- Pooled vehicle RAUM · $405M to $377MMar 31, 2023 to Jun 16, 2023
- RAUM · $405M to $377MMar 31, 2023 to Jun 16, 2023
- Assets in custody · 0.0 to unsetMar 31, 2022 to Mar 31, 2023
- Custody of client assets · true to falseMar 31, 2022 to Mar 31, 2023
- Employees · 10 to 9Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $544M to $405MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Individual RAUM · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Pension RAUM · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $544M to $405MMar 31, 2022 to Mar 31, 2023
- RAUM · $544M to $405MMar 31, 2022 to Mar 31, 2023
- Financial planning clients · unset to 0Nov 11, 2021 to Mar 31, 2022
- Discretionary RAUM · $492M to $544MNov 11, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $492M to $544MNov 11, 2021 to Mar 31, 2022
- RAUM · $492M to $544MNov 11, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.0B to $492MMar 1, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $1.0B to $492MMar 1, 2021 to Mar 31, 2021
- RAUM · $1.0B to $492MMar 1, 2021 to Mar 31, 2021
- Advisory employees · 4 to 5Mar 27, 2020 to Mar 1, 2021
- Employees · 7 to 10Mar 27, 2020 to Mar 1, 2021
Signals
9 dated events
- K••••••••• C•••••• reported RAUM $706.2M, up 42% from $496.1M (2025-03-31 to 2026-04-01)Apr 1, 2026 · RAUM change · derived
- K••••••••• C•••••• reported RAUM $405.1M, down 26% from $543.9M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- K••••••••• C•••••• reported RAUM $491.8M, down 51% from $1.0B (2021-03-01 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Edward Stephen Shorey (Chief Financial Officer) appeared on Schedule A of K••••••••• C••••••Mar 1, 2021 · Control person joined · fact
- K••••••••• C•••••• reported RAUM $1.0B, up 144% from $409.6M (2020-03-27 to 2021-03-01)Mar 1, 2021 · RAUM change · derived
- K••••••••• C•••••• reported RAUM $409.6M, up 42% from $288.7M (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Charles David Berry (Chief Compliance Officer) appeared on Schedule A of K••••••••• C••••••Mar 27, 2020 · Control person joined · fact
- James Michael Hegarty (Chief Compliance Officer) no longer on Schedule A of K••••••••• C•••••• (listed 2019-03-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- K••••••••• C•••••• filed its initial SEC registration (Form ADV)Mar 29, 2017 · 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
- w••.k••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-765-2064reportedpublic record, Form ADV, Apr 1, 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