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•••••• L••
Latest filing Aug 7, 2025
First filing on the tape Jan 4, 2021 · 17 filings
SEC status approved since Mar 23, 2021
RAUM
$72.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$72.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$72.3M as of Aug 7, 2025
Feb 25, 2021$36.0M then
HNW client RAUM$71.5M as of Aug 7, 2025
Feb 25, 2021$32.6M then
State-registered IARs (5.B.3)1 as of Aug 7, 2025
Feb 25, 20211 then
Employees (5.A)2 as of Aug 7, 2025
Feb 25, 20211 then
Private funds: no history
RAUM +41% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 7, 2025; every figure names its basis
- RAUM per advisor
- $72.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $850,702derivedHNW RAUM over HNW clients
- Average account
- $715,415derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.5M99%
- Individuals$798,0071.1%
- Individual clients
- 18reported
- HNW clients
- 84reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 101reported
- Financial planning clients
- 0reported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- A•••• L•••• M•••••• to I•• C••••••• L••Jan 30, 2026 · RIA to RIA
Joined, latest
- A•••• L•••• M•••••• from B• R•••• W••••• M•••••••••Sep 10, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• A••••• L•••• · Managing Member & Chief Compliance Officercontrolsince 09/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 1 to 2Feb 4, 2025 to Aug 7, 2025
- Financial planning clients · 0 to 0Feb 4, 2025 to Aug 7, 2025
- Accounts · 89 to 101Feb 15, 2024 to Feb 4, 2025
- Charity clients · 1 to 0Feb 15, 2024 to Feb 4, 2025
- HNW clients · 76 to 84Feb 15, 2024 to Feb 4, 2025
- Individual clients · 13 to 18Feb 15, 2024 to Feb 4, 2025
- HQ city · unset to Feb 15, 2024 to Feb 4, 2025
- HQ state · unset to Feb 15, 2024 to Feb 4, 2025
- Discretionary RAUM · $51.4M to $72.3MFeb 15, 2024 to Feb 4, 2025
- HNW RAUM · $46.5M to $71.5MFeb 15, 2024 to Feb 4, 2025
- Individual RAUM · $1.0M to $798,007Feb 15, 2024 to Feb 4, 2025
- RAUM · $51.4M to $72.3MFeb 15, 2024 to Feb 4, 2025
- Individual RAUM · $659,376 to $1.0MJul 20, 2023 to Feb 15, 2024
- RAUM · $29.0M to $51.4MJul 20, 2023 to Feb 15, 2024
- Accounts · 85 to 89Jul 20, 2023 to Feb 15, 2024
- HNW clients · 74 to 76Jul 20, 2023 to Feb 15, 2024
- Individual clients · 10 to 13Jul 20, 2023 to Feb 15, 2024
- Discretionary RAUM · $29.0M to $51.4MJul 20, 2023 to Feb 15, 2024
- HNW RAUM · $25.9M to $46.5MJul 20, 2023 to Feb 15, 2024
- HQ city · NEW YORK to unsetMar 9, 2023 to Jul 20, 2023
- HQ state · NY to unsetMar 9, 2023 to Jul 20, 2023
- Accounts · 82 to 85Feb 7, 2023 to Mar 9, 2023
- Charity clients · 0 to 1Feb 7, 2023 to Mar 9, 2023
- HNW clients · 72 to 74Feb 7, 2023 to Mar 9, 2023
- Individual clients · 9 to 10Feb 7, 2023 to Mar 9, 2023
- Discretionary RAUM · $44.7M to $29.0MFeb 7, 2023 to Mar 9, 2023
- HNW RAUM · $44.1M to $25.9MFeb 7, 2023 to Mar 9, 2023
- Individual RAUM · $631,494 to $659,376Feb 7, 2023 to Mar 9, 2023
- RAUM · $44.7M to $29.0MFeb 7, 2023 to Mar 9, 2023
- Accounts · 63 to 82Jun 24, 2021 to Mar 23, 2022
- Charity clients · 1 to 0Jun 24, 2021 to Mar 23, 2022
- HNW clients · 54 to 72Jun 24, 2021 to Mar 23, 2022
- Individual clients · 8 to 9Jun 24, 2021 to Mar 23, 2022
- Discretionary RAUM · $36.0M to $44.7MJun 24, 2021 to Mar 23, 2022
- HNW RAUM · $32.6M to $44.1MJun 24, 2021 to Mar 23, 2022
- Individual RAUM · $400,000 to $631,494Jun 24, 2021 to Mar 23, 2022
- RAUM · $36.0M to $44.7MJun 24, 2021 to Mar 23, 2022
- Accounts · 43 to 63Feb 10, 2021 to Feb 25, 2021
- HNW clients · 21 to 54Feb 10, 2021 to Feb 25, 2021
- Individual clients · 20 to 8Feb 10, 2021 to Feb 25, 2021
Signals
3 dated events
- K•• C•••••• L•• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $72.3M)Feb 2, 2026 · Left the SEC roster · derived
- A•••• L•••• M•••••• left K•• C•••••• L•• for I•• C••••••• L•• (registered 2025-02-14)Jan 30, 2026 · Advisor changed firm · fact
- K•• C•••••• L•• filed its initial SEC registration (Form ADV)Jan 4, 2021 · 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