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

L••••• A••••••• L••

Former SEC-registered adviserNewark, DelawareCRD 283929SEC 801-107870IAPD
Latest filing Jun 25, 2020
First filing on the tape May 17, 2016 · 15 filings
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$121M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$121M as of Mar 20, 2020
Mar 9, 2017$109M then
HNW client RAUM$78.7M as of Mar 20, 2020
Mar 6, 2018$79.0M then
State-registered IARs (5.B.3)2 as of Mar 20, 2020
Mar 9, 20172 then
Employees (5.A)5 as of Mar 20, 2020
Mar 9, 20174 then
Private funds: no history
RAUM +4.9% over the last fiscal year+3.4% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Jun 25, 2020; every figure names its basis
RAUM per advisor
$60.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
67derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$260,475derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$78.7M65%
  • Individuals$41.9M35%
Individual clients
97reported
HNW clients
36reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
463reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L•••••• K••• W•••••••• · Managing Member/Chief Compliance Officercontrol
    since 05/2016 · owns less than 5%
  • L•••••• K••• W•••••••• · Managing Membercontrol
    since 08/2009 · owns 75% or more of K•••, LLC
Entity owners
  • K••• L•• · Owner
    direct · owns 75% or more
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 · 384 to 463
    Dec 26, 2019 to Mar 20, 2020
  • HNW clients · 30 to 36
    Dec 26, 2019 to Mar 20, 2020
  • Individual clients · 90 to 97
    Dec 26, 2019 to Mar 20, 2020
  • Employees · 4 to 5
    Dec 26, 2019 to Mar 20, 2020
  • Financial planning clients · 101-250 to 51-100
    Dec 26, 2019 to Mar 20, 2020
  • HQ city · WILMINGTON to NEWARK
    Dec 26, 2019 to Mar 20, 2020
  • Discretionary RAUM · $115M to $121M
    Dec 26, 2019 to Mar 20, 2020
  • HNW RAUM · $66.0M to $78.7M
    Dec 26, 2019 to Mar 20, 2020
  • Individual RAUM · $49.0M to $41.9M
    Dec 26, 2019 to Mar 20, 2020
  • RAUM · $115M to $121M
    Dec 26, 2019 to Mar 20, 2020
  • Other offices · 1 to 0
    Feb 27, 2019 to Dec 26, 2019
  • Accounts · 417 to 384
    Mar 6, 2018 to Feb 27, 2019
  • Advisory activities · 5 to 4
    Mar 6, 2018 to Feb 27, 2019
  • HNW clients · 43 to 30
    Mar 6, 2018 to Feb 27, 2019
  • Individual clients · 96 to 90
    Mar 6, 2018 to Feb 27, 2019
  • Employees · 3 to 4
    Mar 6, 2018 to Feb 27, 2019
  • Financial planning clients · 51-100 to 101-250
    Mar 6, 2018 to Feb 27, 2019
  • Discretionary RAUM · $117M to $115M
    Mar 6, 2018 to Feb 27, 2019
  • HNW RAUM · $79.0M to $66.0M
    Mar 6, 2018 to Feb 27, 2019
  • Individual RAUM · $38.5M to $49.0M
    Mar 6, 2018 to Feb 27, 2019
  • RAUM · $117M to $115M
    Mar 6, 2018 to Feb 27, 2019
  • Accounts · 384 to 417
    Oct 13, 2017 to Mar 6, 2018
  • Advisory employees · 3 to 2
    Oct 13, 2017 to Mar 6, 2018
  • Advisory activities · 4 to 5
    Oct 13, 2017 to Mar 6, 2018
  • HNW clients · 34 to 43
    Oct 13, 2017 to Mar 6, 2018
  • Individual clients · 90 to 96
    Oct 13, 2017 to Mar 6, 2018
  • Employees · 4 to 3
    Oct 13, 2017 to Mar 6, 2018
  • Financial planning clients · 26-50 to 51-100
    Oct 13, 2017 to Mar 6, 2018
  • State-registered IARs · 3 to 2
    Oct 13, 2017 to Mar 6, 2018
  • Discretionary RAUM · $111M to $117M
    Oct 13, 2017 to Mar 6, 2018
  • HNW RAUM · $72.1M to $79.0M
    Oct 13, 2017 to Mar 6, 2018
  • Individual RAUM · $38.4M to $38.5M
    Oct 13, 2017 to Mar 6, 2018
  • RAUM · $111M to $117M
    Oct 13, 2017 to Mar 6, 2018
  • HNW clients · unset to 34.0
    Aug 7, 2017 to Oct 13, 2017
  • Individual clients · unset to 90.0
    Aug 7, 2017 to Oct 13, 2017
  • Other offices · unset to 1.0
    Aug 7, 2017 to Oct 13, 2017
  • Discretionary RAUM · $109M to $111M
    Aug 7, 2017 to Oct 13, 2017
  • HNW RAUM · unset to 72141858.0
    Aug 7, 2017 to Oct 13, 2017
  • Individual RAUM · unset to 38401160.0
    Aug 7, 2017 to Oct 13, 2017
  • RAUM · $109M to $111M
    Aug 7, 2017 to Oct 13, 2017
Signals
1 dated events
  • L••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    May 17, 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