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•• G•••• A•••••••• L•
Latest filing Mar 27, 2020
First filing on the tape May 17, 2018 · 4 filings
RAUM
$290M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$290M gross assets
History
4 filings and snapshots on the tape
RAUM$290M as of Mar 27, 2020
Feb 14, 2019$255M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Feb 14, 20190 then
Employees (5.A)4 as of Mar 27, 2020
Feb 14, 201910 then
Private funds1 as of Mar 27, 2020
Feb 14, 20191 then
RAUM +14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $290MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$290M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•• S•••••• F•••• L• | Private Equity Fund | $290M | 86 | Oct 15, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D••• G••••••• R• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- K••••••• E••••• · Chief Executive Officercontrolsince 05/2018 · owns less than 5%
- K••••••• E••••• · Membercontrolsince 05/2018 · owns 25% to 50% of K•• G•••• H•••••••• L••
Entity owners
- K•• G•••• H•••••••• L•• · General Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- K•• G••••• L••broker-dealern
- K•• S•••••• R•••••••• M••••••••• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 10 to 4Feb 14, 2019 to Mar 27, 2020
- BD registered reps · 10 to 3Feb 14, 2019 to Mar 27, 2020
- Employees · 10 to 4Feb 14, 2019 to Mar 27, 2020
- Discretionary RAUM · $255M to $290MFeb 14, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $255M to $290MFeb 14, 2019 to Mar 27, 2020
- RAUM · $255M to $290MFeb 14, 2019 to Mar 27, 2020
- Discretionary RAUM · $240M to $255MOct 15, 2018 to Feb 14, 2019
- Pooled vehicle RAUM · $240M to $255MOct 15, 2018 to Feb 14, 2019
- RAUM · $240M to $255MOct 15, 2018 to Feb 14, 2019
- Accounts · unset to 1.0May 17, 2018 to Oct 15, 2018
- Advisory employees · 9 to 10May 17, 2018 to Oct 15, 2018
- BD registered reps · 11 to 10May 17, 2018 to Oct 15, 2018
- Pooled vehicle clients · 0 to 1May 17, 2018 to Oct 15, 2018
- Employees · 12 to 10May 17, 2018 to Oct 15, 2018
- Private funds · unset to 1May 17, 2018 to Oct 15, 2018
- Discretionary RAUM · unset to 240000000.0May 17, 2018 to Oct 15, 2018
- Non-discretionary RAUM · unset to 0.0May 17, 2018 to Oct 15, 2018
- Pooled vehicle RAUM · unset to 240000000.0May 17, 2018 to Oct 15, 2018
- RAUM · unset to 240000000.0May 17, 2018 to Oct 15, 2018
Signals
2 dated events
- Lee Gaston Kearby (Member) no longer on Schedule A of K•• G•••• A•••••••• L• (listed 2019-02-14, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- K•• G•••• A•••••••• L• filed its initial SEC registration (Form ADV)May 17, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- K•• G•••• A•••••••• L• · Private Equityshared crd · organization
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