DFX Intelligence
RIA Intelligence
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SEC-registered adviser
K•• A•••••••• L••
Latest filing Jun 4, 2026
First filing on the tape Sep 5, 2017 · 26 filings
SEC status approved since Oct 6, 2017
RAUM
$210M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
32%
$66.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$210M as of Jun 4, 2026
Jan 30, 2018$113M then
HNW client RAUM$65.9M as of Jun 4, 2026
Jan 30, 2018$82.9M then
State-registered IARs (5.B.3)3 as of Jun 4, 2026
Jan 30, 20182 then
Employees (5.A)5 as of Jun 4, 2026
Jan 30, 20184 then
Private funds: no history
RAUM -8.4% over the last fiscal year+38% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
- RAUM per advisor
- $70.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- Corporations and businesses$144M68%
- High-net-worth individuals$65.9M31%
- Individuals$850,6810.4%
- Individual clients
- 5reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 60reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.32 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• R••••• D••••••••• | Brooklyn, Ny | Oct 10, 2018 | 19 y | 0 |
| C•••• D••••••••• | Princeton, Nj | Mar 23, 2021 | 14 y | 0 |
| T•••••• D••••• D•••••••••Chartered Financial Analyst | Princeton, Nj | Jun 11, 2021 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- P•••• C•••• D••••••••• to R•••• L•••• L••May 21, 2025 · RIA to a newly registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• P••••• C•••• · Chief Executive Officercontrolsince 10/2017 · owns less than 5%
- D••••••••• R••••• R••••• · Managing Member & Chief Compliance Officercontrolsince 10/2017 · owns 10% to 25%
Entity owners
- K•• I••••••••• A•••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- K•• I••••••••• A•••••••• L••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 75 to 60Sep 26, 2025 to Jan 27, 2026
- Advisory employees · 4 to 3Sep 26, 2025 to Jan 27, 2026
- Corporate clients · 18 to 21Sep 26, 2025 to Jan 27, 2026
- HNW clients · 32 to 26Sep 26, 2025 to Jan 27, 2026
- Individual clients · unset to 5.0Sep 26, 2025 to Jan 27, 2026
- Financial planning clients · 1-10 to 0Sep 26, 2025 to Jan 27, 2026
- State-registered IARs · 4 to 3Sep 26, 2025 to Jan 27, 2026
- Discretionary RAUM · $163M to $137MSep 26, 2025 to Jan 27, 2026
- HNW RAUM · $58.4M to $65.9MSep 26, 2025 to Jan 27, 2026
- Individual RAUM · $251,488 to $850,681Sep 26, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $66.9M to $73.8MSep 26, 2025 to Jan 27, 2026
- RAUM · $230M to $210MSep 26, 2025 to Jan 27, 2026
- HQ city · NEW YORK to PRINCETONJun 4, 2025 to Sep 26, 2025
- HQ state · NY to NJJun 4, 2025 to Sep 26, 2025
- Financial planning clients · 1-10 to 1-10Feb 7, 2025 to Jun 4, 2025
- Accounts · 57 to 75Oct 4, 2024 to Feb 7, 2025
- Corporate clients · 13 to 18Oct 4, 2024 to Feb 7, 2025
- HNW clients · 33 to 32Oct 4, 2024 to Feb 7, 2025
- Individual clients · 5.0 to unsetOct 4, 2024 to Feb 7, 2025
- Financial planning clients · 0 to 1-10Oct 4, 2024 to Feb 7, 2025
- Discretionary RAUM · $95.3M to $163MOct 4, 2024 to Feb 7, 2025
- HNW RAUM · $43.4M to $58.4MOct 4, 2024 to Feb 7, 2025
- Individual RAUM · $199,000 to $251,488Oct 4, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $48.0M to $66.9MOct 4, 2024 to Feb 7, 2025
- RAUM · $143M to $230MOct 4, 2024 to Feb 7, 2025
- HQ city · BROOKLYN to NEW YORKMar 6, 2024 to Oct 4, 2024
- Accounts · 52 to 57Mar 8, 2023 to Mar 6, 2024
- Advisory employees · 3 to 4Mar 8, 2023 to Mar 6, 2024
- Corporate clients · 12 to 13Mar 8, 2023 to Mar 6, 2024
- HNW clients · 17 to 33Mar 8, 2023 to Mar 6, 2024
- Individual clients · 8 to 5Mar 8, 2023 to Mar 6, 2024
- Discretionary RAUM · $41.4M to $95.3MMar 8, 2023 to Mar 6, 2024
- HNW RAUM · $46.8M to $43.4MMar 8, 2023 to Mar 6, 2024
- Individual RAUM · $500,000 to $199,000Mar 8, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $39.1M to $48.0MMar 8, 2023 to Mar 6, 2024
- RAUM · $80.5M to $143MMar 8, 2023 to Mar 6, 2024
- Accounts · 44 to 52Dec 9, 2022 to Mar 8, 2023
- Corporate clients · 9 to 12Dec 9, 2022 to Mar 8, 2023
- Employees · 4 to 5Dec 9, 2022 to Mar 8, 2023
- State-registered IARs · 3 to 4Dec 9, 2022 to Mar 8, 2023
Signals
4 dated events
- P•••• C•••• D••••••••• left K•• A•••••••• L•• for R•••• L•••• L•• (registered 2025-06-30)May 21, 2025 · Advisor changed firm · fact
- C•••• P•••• D••••••••• (Chief Executive Officer) appeared on Schedule A of K•• A•••••••• L••Dec 9, 2021 · Control person joined · fact
- K•• A•••••••• L•• reported RAUM $10.0M, down 91% from $113.0M (2018-01-30 to 2018-06-18)Jun 18, 2018 · RAUM change · derived
- K•• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 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.
How to reach
public business contact points only, each with its source
- Business email
- s•••••@k•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- y•••••@k•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 609-436-9250reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 929-293-1270reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.k•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 929-293-1270reportedpublic record, Form ADV, Jun 4, 2026
- Contact form
- k•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $70.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026