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

C••• K•• M••••••••• L•

Former SEC-registered adviserHouston, TexasCRD 285856SEC 801-108710IAPD
Latest filing Mar 30, 2020
First filing on the tape Nov 15, 2016 · 12 filings
RAUM
$98.3M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$98.3M gross assets
History
12 filings and snapshots on the tape
RAUM$98.3M as of Mar 30, 2020
Mar 17, 2017$107M then
HNW client RAUM: $756M
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 17, 20170 then
Employees (5.A)2 as of Mar 30, 2020
Mar 17, 20175 then
Private funds2 as of Mar 30, 2020
Mar 17, 20172 then
RAUM -90% over the last fiscal year-2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$49.2MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-90%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$98.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• K•• M••••• F••• L•Hedge Fund$82.9M20Jan 27, 2017
      C••• K•• B•••••••• H•••••••• L•Hedge Fund$15.4M1Jan 27, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• J••••••• R••••• · Limited Partner And Ccocontrol
        since 05/2016 · owns 25% to 50%
      • K••••••••• J••• · Limited Partnercontrol
        since 05/2016 · owns 25% to 50%
      • C•••••••• J••••••• R••••• · Manager, Membercontrol
        since 05/2016 · owns 50% to 75% of C••• K•• G• M••••••••• L••
      • K••••••••• J••• · Membercontrol
        since 05/2016 · owns 50% to 75% of C••• K•• G• M••••••••• L••
      Entity owners
      • C••• K•• G• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••• K•• F••• G• L•
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Garden City, NY1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 2
        Mar 28, 2019 to Mar 30, 2020
      • Advisory employees · 3 to 2
        Mar 28, 2019 to Mar 30, 2020
      • Advisory activities · 2 to 1
        Mar 28, 2019 to Mar 30, 2020
      • Employees · 3 to 2
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $212M to $98.3M
        Mar 28, 2019 to Mar 30, 2020
      • HNW RAUM · 755802647.0 to unset
        Mar 28, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $756M to $0
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $212M to $98.3M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $968M to $98.3M
        Mar 28, 2019 to Mar 30, 2020
      • Corporate clients · 1.0 to unset
        May 25, 2018 to Mar 28, 2019
      • Discretionary RAUM · $160M to $212M
        May 25, 2018 to Mar 28, 2019
      • HNW RAUM · unset to 755802647.0
        May 25, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $58.3M to $756M
        May 25, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $160M to $212M
        May 25, 2018 to Mar 28, 2019
      • RAUM · $218M to $968M
        May 25, 2018 to Mar 28, 2019
      • Accounts · 4 to 3
        Sep 28, 2017 to Mar 30, 2018
      • Advisory employees · 4 to 3
        Sep 28, 2017 to Mar 30, 2018
      • Advisory activities · 1 to 2
        Sep 28, 2017 to Mar 30, 2018
      • Corporate clients · unset to 1.0
        Sep 28, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        Sep 28, 2017 to Mar 30, 2018
      • Employees · 5 to 3
        Sep 28, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Sep 28, 2017 to Mar 30, 2018
      • Discretionary RAUM · $107M to $160M
        Sep 28, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $0 to $58.3M
        Sep 28, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 160218213.0
        Sep 28, 2017 to Mar 30, 2018
      • RAUM · $107M to $218M
        Sep 28, 2017 to Mar 30, 2018
      • Accounts · unset to 4.0
        Jan 27, 2017 to Mar 17, 2017
      • Business name · C••• K•• M••••••••• L• to C••• K•• M••••••••• L•
        Jan 27, 2017 to Mar 17, 2017
      • Legal name · C••• K•• M••••••••• L• to C••• K•• M••••••••• L•
        Jan 27, 2017 to Mar 17, 2017
      • Discretionary RAUM · unset to 106900000.0
        Jan 27, 2017 to Mar 17, 2017
      • Non-discretionary RAUM · unset to 0.0
        Jan 27, 2017 to Mar 17, 2017
      • RAUM · unset to 106900000.0
        Jan 27, 2017 to Mar 17, 2017
      • Assets in custody · unset to 0.0
        Dec 23, 2016 to Jan 27, 2017
      • Custody of client assets · false to true
        Dec 23, 2016 to Jan 27, 2017
      • Private funds · unset to 2
        Dec 23, 2016 to Jan 27, 2017
      • Related adviser · true to false
        Dec 23, 2016 to Jan 27, 2017
      Signals
      4 dated events
      • C••• K•• M••••••••• L• reported RAUM $98.3M, down 90% from $968.2M (2019-03-28 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • C••• K•• M••••••••• L• reported RAUM $968.2M, up 343% from $218.5M (2018-05-25 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • C••• K•• M••••••••• L• reported RAUM $218.5M, up 104% from $106.9M (2017-09-28 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • C••• K•• M••••••••• L• filed its initial SEC registration (Form ADV)
        Nov 15, 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