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••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 283005SEC 801-107556IAPD
Latest filing Jun 2, 2018
First filing on the tape Mar 25, 2016 · 4 filings
RAUM
$347M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$557M gross assets
History
4 filings and snapshots on the tape
RAUM$347M as of Mar 31, 2018
Mar 31, 2017$222M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 31, 20170 then
Employees (5.A)4 as of Mar 31, 2018
Mar 31, 20174 then
Private funds6 as of Mar 31, 2018
Mar 31, 20176 then
RAUM +56% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 2, 2018; 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
$57.8MderivedRAUM 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
+56%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$347M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      K••••• D••••••• P••••••• 2•••• L•••Private Equity Fund$210M13Mar 25, 2016
      K••••• E••••••• I•• L•••Private Equity Fund$98.5M27Mar 25, 2016
      K•• H•••••••• L•••Private Equity Fund$38.0M15Mar 25, 2016
      K•• I•••••••• L••Private Equity Fund$16.0M5Mar 25, 2016
      K••••• E••••• P••••••• I•• L•Private Equity Fund$025Mar 30, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• J••••••• L••••••• · Presidentcontrol
        since 01/1986 · owns 75% or more
      • F••••••••• M••••• O••••• · Treasurer
        since 01/1986 · owns less than 5%
      • W•••• T•••••• M•••••• · Managing Director And Chief Compliance Officer
        since 12/2000 · owns less than 5%
      Related persons
      Schedule D 7.A
      • K•• M••••••• L••
        pooled vehicle sponsorn
      • K•• P••••••• L••
        pooled vehicle sponsorn
      • K••••• C•••••• G•• L••
        pooled vehicle sponsorn
      • K••••• E••••• P•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 6.0
        Mar 31, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Discretionary RAUM · $222M to $347M
        Mar 31, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 346900000.0
        Mar 31, 2017 to Mar 31, 2018
      • RAUM · $222M to $347M
        Mar 31, 2017 to Mar 31, 2018
      • Discretionary RAUM · $221M to $222M
        Mar 25, 2016 to Mar 31, 2017
      • RAUM · $221M to $222M
        Mar 25, 2016 to Mar 31, 2017
      Signals
      2 dated events
      • K••••• • C••••••• I••• reported RAUM $346.9M, up 56% from $222.1M (2017-03-31 to 2018-03-31)
        Mar 31, 2018 · RAUM change · derived
      • K••••• • C••••••• I••• filed its initial SEC registration (Form ADV)
        Mar 25, 2016 · 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