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•••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 283768SEC 801-107840IAPD
Latest filing Mar 30, 2019
First filing on the tape May 10, 2016 · 6 filings
RAUM
$301M
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
22
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$301M as of Mar 30, 2019
Mar 30, 2017$455M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2019
Mar 30, 20170 then
Employees (5.A)22 as of Mar 30, 2019
Mar 30, 201725 then
Private funds: no history
RAUM -49% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2019; 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
$301MderivedRAUM 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
-49%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 investment companiesreportedItem 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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$301M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J••••• S••••• · Presidentcontrol
        since 04/2016 · owns less than 5%
      • N••••••• B••••• F•••••• · Chief Financial Officercontrol
        since 04/2016 · owns less than 5%
      • C•••••• J••••• S••••• · Limited Partnercontrol
        since 12/2003 · owns 75% or more of K•••••• A••••••••• L•
      Entity owners
      • K•••••• A••••••••• L• · Member
        direct · owns 75% or more
      • K•••••• A••••••••• L••• · General Partner
        indirect · owns F of K•••••• A••••••••• L•
      Related persons
      Schedule D 7.A
      • K• A••••••• I••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • K••• A••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • C••••• & Company L.P.
        investment adviserbankyRAUM $327M
      • K•••••• O••••••••• M••••••••• I••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • K•••••• O••••••••• M••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • U•••• C•••••• M••••••••• I• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Aug 1, 2018 to Mar 30, 2019
      • Advisory employees · 25 to 22
        Aug 1, 2018 to Mar 30, 2019
      • Employees · 25 to 22
        Aug 1, 2018 to Mar 30, 2019
      • Discretionary RAUM · $587M to $301M
        Aug 1, 2018 to Mar 30, 2019
      • RAUM · $587M to $301M
        Aug 1, 2018 to Mar 30, 2019
      • Advisory activities · 3 to 1
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $455M to $587M
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $455M to $587M
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 28 to 25
        Sep 9, 2016 to Mar 30, 2017
      • Employees · 28 to 25
        Sep 9, 2016 to Mar 30, 2017
      • Discretionary RAUM · $249M to $455M
        Sep 9, 2016 to Mar 30, 2017
      • RAUM · $249M to $455M
        Sep 9, 2016 to Mar 30, 2017
      • Accounts · 0 to 2
        May 10, 2016 to Sep 9, 2016
      • Advisory activities · 1 to 3
        May 10, 2016 to Sep 9, 2016
      • Discretionary RAUM · $0 to $249M
        May 10, 2016 to Sep 9, 2016
      • RAUM · $0 to $249M
        May 10, 2016 to Sep 9, 2016
      Signals
      3 dated events
      • K•••••• A••••••• L•• reported RAUM $301.3M, down 49% from $587.0M (2018-08-01 to 2019-03-30)
        Mar 30, 2019 · RAUM change · derived
      • K•••••• A••••••• L•• reported RAUM $587.0M, up 29% from $455.3M (2017-03-30 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • K•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        May 10, 2016 · 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