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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

K••••• A•••••••• L••

Former SEC-registered adviserRichmond, VirginiaCRD 290903SEC 801-120449IAPD
Latest filing Feb 12, 2021
First filing on the tape Feb 3, 2021 · 2 filings
RAUM
$104M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
70%
$73.1M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$104M as of Feb 12, 2021
Feb 3, 2021$104M then
HNW client RAUM$68.5M as of Feb 12, 2021
Feb 3, 2021$68.5M then
State-registered IARs (5.B.3)1 as of Feb 12, 2021
Feb 3, 20211 then
Employees (5.A)2 as of Feb 12, 2021
Feb 3, 20212 then
Private funds: no history
Practice profile
derived from the filing of Feb 12, 2021; every figure names its basis
RAUM per advisor
$104MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$485,436derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
4.1%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
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$68.5M66%
  • Corporations and businesses$26.6M26%
  • Individuals$4.6M4.5%
  • Charitable organizations$3.8M3.7%
  • Pension and profit-sharing plans$383,6110.4%
Individual clients
18reported
HNW clients
42reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
214reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• W•••••• · Membercontrol
      since 09/2017 · owns 25% to 50%
    • H••••••••• L•••••• M•••• · Membercontrol
      since 09/2018 · owns 10% to 25%
    • M••••••• J••••••• G••••• · Managing Member, Ccocontrol
      since 09/2017 · owns 25% to 50%
    • V••••••• K•••••••• · Membercontrol
      since 09/2017 · owns 25% to 50%
    • P••••• W••••••• A••••••• · Partner
      since 04/2019 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    5 dated events
    • J•••••• G••••• M•••••• left K••••• A•••••••• L•• for C••••••••• F••••• I••••••••• L•• (registered 2022-02-03)
      Feb 10, 2022 · Advisor changed firm · fact
    • W•••••• A••••••• P•••• left K••••• A•••••••• L•• for C••••••••• F••••• I••••••••• L•• (registered 2022-02-03)
      Feb 10, 2022 · Advisor changed firm · fact
    • 2 advisors left K••••• A•••••••• L•• (Richmond, VA) for C••••••••• F••••• I••••••••• L•• on the same day
      Feb 10, 2022 · Team lift-out · derived
    • M•••• L••••• H•••••••• (Member) appeared on Schedule A of K••••• A•••••••• L••
      Feb 12, 2021 · Control person joined · fact
    • K••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 3, 2021 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    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