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

S•••••• A•••• M••••••••• •••• K•••• L••••••

Former SEC-registered adviserH••• K•••, CRD 286182SEC 801-108942websiteIAPD
Latest filing Mar 20, 2024
First filing on the tape Jan 5, 2017 · 15 filings
SEC status approved since Jan 25, 2017
RAUM
$775M
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
19
8 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$775M as of Mar 18, 2024
Mar 31, 2018$2.7B then
HNW client RAUM$0 as of Mar 18, 2024
Mar 29, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 18, 2024
Mar 31, 20180 then
Employees (5.A)19 as of Mar 18, 2024
Mar 31, 201832 then
Private funds: no history
RAUM -16% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2024; 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
$35.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
13%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
-16%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • 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
  • Pooled investment vehicles$533M84%
  • Pension and profit-sharing plans$98.3M16%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
22reported
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
      • K••• M••••••• N•• · Cfo, Directorcontrol
        since 11/2019 · owns less than 5%
      • P•••• S••••••• N•• · Ceo, Managing Directorcontrol
        since 01/2022 · owns less than 5%
      • L••• B•••••• · Chief Operating Officer
        since 11/2023 · owns less than 5%
      • L••••• M•••• T•• · Chief Compliance Officer
        since 12/2023 · owns less than 5%
      • Y• J••• W•••• · Director
        since 01/2024 · owns less than 5%
      Entity owners
      • S•••••• A•••• M••••••••• C••••••• L••• · Shareholder
        direct · owns 75% or more
      • S•••••• L••• I•••••••• C••• L••• · Shareholder
        indirect · owns 75% or more of S•••••• A•••• M••••••••• C••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list S•••••• A•••• M••••••••• •••• K•••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 23 to 22
        May 29, 2023 to Mar 18, 2024
      • Advisory employees · 10 to 8
        May 29, 2023 to Mar 18, 2024
      • Pooled vehicle clients · 14 to 13
        May 29, 2023 to Mar 18, 2024
      • Employees · 22 to 19
        May 29, 2023 to Mar 18, 2024
      • Discretionary RAUM · $925M to $775M
        May 29, 2023 to Mar 18, 2024
      • Pension RAUM · $211M to $98.3M
        May 29, 2023 to Mar 18, 2024
      • Pooled vehicle RAUM · $568M to $533M
        May 29, 2023 to Mar 18, 2024
      • RAUM · $925M to $775M
        May 29, 2023 to Mar 18, 2024
      • Accounts · 21 to 23
        Mar 30, 2022 to Mar 23, 2023
      • Advisory employees · 14 to 10
        Mar 30, 2022 to Mar 23, 2023
      • Employees · 31 to 22
        Mar 30, 2022 to Mar 23, 2023
      • Discretionary RAUM · $1.4B to $925M
        Mar 30, 2022 to Mar 23, 2023
      • Pension RAUM · $302M to $211M
        Mar 30, 2022 to Mar 23, 2023
      • Pooled vehicle RAUM · $815M to $568M
        Mar 30, 2022 to Mar 23, 2023
      • RAUM · $1.4B to $925M
        Mar 30, 2022 to Mar 23, 2023
      • Accounts · 25 to 21
        Mar 29, 2021 to Mar 30, 2022
      • Discretionary RAUM · $2.0B to $1.4B
        Mar 29, 2021 to Mar 30, 2022
      • Pension RAUM · $310M to $302M
        Mar 29, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $960M to $815M
        Mar 29, 2021 to Mar 30, 2022
      • RAUM · $2.0B to $1.4B
        Mar 29, 2021 to Mar 30, 2022
      • Accounts · 24 to 25
        Dec 21, 2020 to Mar 29, 2021
      • Advisory employees · 15 to 14
        Dec 21, 2020 to Mar 29, 2021
      • Pension plan clients · 2.0 to unset
        Dec 21, 2020 to Mar 29, 2021
      • Employees · 30 to 31
        Dec 21, 2020 to Mar 29, 2021
      • Discretionary RAUM · $1.9B to $2.0B
        Dec 21, 2020 to Mar 29, 2021
      • Pension RAUM · $264M to $310M
        Dec 21, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $889M to $960M
        Dec 21, 2020 to Mar 29, 2021
      • RAUM · $1.9B to $2.0B
        Dec 21, 2020 to Mar 29, 2021
      • Accounts · 31 to 24
        Mar 30, 2020 to Dec 21, 2020
      • Corporate clients · unset to 0.0
        Mar 30, 2020 to Dec 21, 2020
      • Pooled vehicle clients · 15 to 14
        Mar 30, 2020 to Dec 21, 2020
      • Discretionary RAUM · $1.9B to $1.9B
        Mar 30, 2020 to Dec 21, 2020
      • HNW RAUM · unset to 0.0
        Mar 30, 2020 to Dec 21, 2020
      • Individual RAUM · unset to 0.0
        Mar 30, 2020 to Dec 21, 2020
      • Non-discretionary RAUM · $229M to $0
        Mar 30, 2020 to Dec 21, 2020
      • Pension RAUM · $233M to $264M
        Mar 30, 2020 to Dec 21, 2020
      • Pooled vehicle RAUM · $1.4B to $889M
        Mar 30, 2020 to Dec 21, 2020
      • RAUM · $2.1B to $1.9B
        Mar 30, 2020 to Dec 21, 2020
      • Accounts · 30 to 31
        Apr 1, 2019 to Mar 30, 2020
      • Advisory employees · 12 to 15
        Apr 1, 2019 to Mar 30, 2020
      Signals
      16 dated events
      • S•••••• A•••• M••••••••• •••• K•••• L•••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $775.5M)
        May 2, 2025 · Left the SEC roster · derived
      • June Young Kim (Director) no longer on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L•••••• (listed 2023-05-29, absent 2024-03-18)
        Mar 18, 2024 · Control person left · inference
      • Ching Chiu Henry Ho (Chief Compliance Officer) no longer on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L•••••• (listed 2023-03-23, absent 2023-05-11)
        May 11, 2023 · Control person left · inference
      • S•••••• A•••• M••••••••• •••• K•••• L•••••• reported RAUM $925.3M, down 33% from $1.4B (2022-03-30 to 2023-03-23)
        Mar 23, 2023 · RAUM change · derived
      • June Young Kim (Director) appeared on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L••••••
        Mar 23, 2023 · Control person joined · fact
      • Nmn Sungjin Choi (Ceo, Managing Director) no longer on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L•••••• (listed 2022-03-30, absent 2023-03-23)
        Mar 23, 2023 · Control person left · inference
      • S•••••• A•••• M••••••••• •••• K•••• L•••••• reported RAUM $1.4B, down 32% from $2.0B (2021-03-29 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • Ching Chiu Henry Ho (Chief Compliance Officer) appeared on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L••••••
        Dec 21, 2020 · Control person joined · fact
      • Anthony Kam (Cco) no longer on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L•••••• (listed 2020-03-30, absent 2020-12-21)
        Dec 21, 2020 · Control person left · inference
      • Nmn Eui Suk Hong (Ceo, Director) no longer on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L•••••• (listed 2019-04-01, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Minseok Kim (Cfo, Director) appeared on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L••••••
        Mar 30, 2020 · Control person joined · fact
      • Nmn Yousang Kim (Director) no longer on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L•••••• (listed 2019-04-01, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Sungjin Park (Director) appeared on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L••••••
        Apr 1, 2019 · Control person joined · fact
      • Nmn David Byung Kom Lee (Cio) no longer on Schedule A of S•••••• A•••• M••••••••• •••• K•••• L•••••• (listed 2018-08-20, absent 2019-04-01)
        Apr 1, 2019 · Control person left · inference
      • S•••••• A•••• M••••••••• •••• K•••• L•••••• reported RAUM $2.7B, up 57% from $1.7B (2017-01-12 to 2018-03-31)
        Mar 31, 2018 · RAUM change · derived
      • S•••••• A•••• M••••••••• •••• K•••• L•••••• filed its initial SEC registration (Form ADV)
        Jan 5, 2017 · 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