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••••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 30, 2017 · 20 filings
SEC status approved since Jun 29, 2017
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$107M as of Mar 31, 2026
Mar 31, 2018$93.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20182 then
Employees (5.A)3 as of Mar 31, 2026
Mar 31, 20184 then
Private funds2 as of Mar 31, 2026
Mar 31, 20183 then
RAUM -5.5% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $107MderivedRAUM 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
- $53.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.5%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $107M, 2 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$107M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $107M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••••• S•••• B••• | B•••Esda, Md | Jan 1, 2026 | 11 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K••••••• M••••• F••• I• L• | Other Private Fund | $102M | 3 | Jan 4, 2018 |
| K••••••• S•••• D•••••••• H••• Y•••• F•••• I••••• F••• ••••••••• L• | Other Private Fund | $61.7M | 2 | Jun 14, 2016 |
| K••••••• O••••••• F•••••• L•••no longer reported | Hedge Fund | $4.5M | 3 | Mar 30, 2017 |
| K••••••• S•••• D•••••••• H••• Y•••• F•••• I••••• F•••• L•no longer reported | Private Equity Fund | $70,004 | 3 | Jun 14, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B••••• P•••• M••••• · Chief Compliance Officercontrolsince 02/2019 · owns less than 5%
- M•••••• S•••••• G••••• · Chairmancontrolsince 03/2016 · owns less than 5%
- S••••• B•••• L•••• · Chief Operations Officercontrolsince 01/2022 · owns less than 5%
- M•••••• S•••••• G••••• · Trusteecontrolsince 03/2016 · owns F of S••••• G• M••••• R•••••••• T••••
Entity owners
- K••••••• I••••••••• H•••••••• L•• · Ownerdirect · owns 75% or more
- L••••• H••••••• L•• · Memberindirect · owns 75% or more of K••••••• I••••••••• H•••••••• L••
- S••••• G• M••••• R•••••••• T•••• · Ownerindirect · owns 75% or more of L••••• H••••••• L••
Related persons
Schedule D 7.A
- K••••••• G• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $113M to $107MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $113M to $107MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $113M to $107MMar 31, 2025 to Mar 31, 2026
- RAUM · $113M to $107MMar 31, 2025 to Mar 31, 2026
- Assets in custody · $160M to $113MMar 29, 2024 to Mar 31, 2025
- Employees · 5 to 3Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 1 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $160M to $113MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $160M to $113MMar 29, 2024 to Mar 31, 2025
- RAUM · $160M to $113MMar 29, 2024 to Mar 31, 2025
- Advisory employees · 3 to 1Jan 4, 2024 to Mar 29, 2024
- Assets in custody · $163M to $160MJan 4, 2024 to Mar 29, 2024
- Employees · 7 to 5Jan 4, 2024 to Mar 29, 2024
- State-registered IARs · 3 to 1Jan 4, 2024 to Mar 29, 2024
- Discretionary RAUM · $163M to $160MJan 4, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $163M to $160MJan 4, 2024 to Mar 29, 2024
- RAUM · $163M to $160MJan 4, 2024 to Mar 29, 2024
- Assets in custody · $118M to $163MOct 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $118M to $163MOct 25, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $118M to $163MOct 25, 2022 to Mar 31, 2023
- RAUM · $118M to $163MOct 25, 2022 to Mar 31, 2023
- Assets in custody · $93.5M to $118MMar 31, 2021 to Mar 30, 2022
- Employees · 6 to 7Mar 31, 2021 to Mar 30, 2022
- State-registered IARs · 2 to 3Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $93.5M to $118MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $93.5M to $118MMar 31, 2021 to Mar 30, 2022
- RAUM · $93.5M to $118MMar 31, 2021 to Mar 30, 2022
- Advisory employees · 4 to 3Dec 24, 2020 to Mar 31, 2021
- Assets in custody · $95.3M to $93.5MDec 24, 2020 to Mar 31, 2021
- Employees · 4 to 6Dec 24, 2020 to Mar 31, 2021
- State-registered IARs · 4 to 2Dec 24, 2020 to Mar 31, 2021
- Discretionary RAUM · $95.3M to $93.5MDec 24, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $95.3M to $93.5MDec 24, 2020 to Mar 31, 2021
- RAUM · $95.3M to $93.5MDec 24, 2020 to Mar 31, 2021
- Accounts · 3 to 2Apr 1, 2019 to Mar 31, 2020
- Pooled vehicle clients · 3 to 2Apr 1, 2019 to Mar 31, 2020
- Assets in custody · $107M to $95.3MApr 1, 2019 to Mar 31, 2020
- Employees · 5 to 4Apr 1, 2019 to Mar 31, 2020
Signals
6 dated events
- S Conner Foster (Chief Investment Officer) no longer on Schedule A of K••••••• A•••• M••••••••• L•• (listed 2023-03-31, absent 2024-01-04)Jan 4, 2024 · Control person left · inference
- S Conner Foster (Chief Investment Officer) appeared on Schedule A of K••••••• A•••• M••••••••• L••Mar 30, 2022 · Control person joined · fact
- L•••• B••• H•••••• (Chief Operations Officer) appeared on Schedule A of K••••••• A•••• M••••••••• L••Mar 30, 2022 · Control person joined · fact
- Gabriel Carlos Max (Cco) no longer on Schedule A of K••••••• A•••• M••••••••• L•• (listed 2018-07-02, absent 2019-02-15)Feb 15, 2019 · Control person left · inference
- Martin Paul Breme (Cco) appeared on Schedule A of K••••••• A•••• M••••••••• L••Feb 15, 2019 · Control person joined · fact
- K••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 30, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- K••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- K••••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 800-200-4071reportedpublic record, Form ADV, Mar 31, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026