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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Latest filing Mar 6, 2026
First filing on the tape Aug 15, 2019 · 11 filings
SEC status approved since Sep 16, 2019
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$0 as of Mar 6, 2026
Mar 27, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 6, 2026
Mar 16, 20201 then
Employees (5.A)4 as of Mar 6, 2026
Mar 16, 20206 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- publications, otherreportedItem 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
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A•••••• T•••• · General Counselcontrolsince 08/2019 · owns less than 5%
- B••••••• S•••••• · Ownercontrolsince 04/2010 · owns 50% to 75%
- M••••••• M••••••• J••••• · Managercontrolsince 04/2010 · owns 25% to 50%
- C••••••• G•••••• · Chief Compliance Officersince 05/2020 · owns less than 5%
- P•••••••• N•••••• H••••• · Ownersince 04/2010 · owns 10% to 25%
Related persons
Schedule D 7.A
- L• A•••• M••••••••• L••investment adviserbanknRAUM $1.3B
- L• S••••• G•• L••bankpooled vehicle sponsorn
Advisers that list K•••••• C•••••• R••••••• L•• as a related person
- 172688 n
Offices
Schedule D 1.F, the 25 largest
- Waltham, MA
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 27, 2025 to Mar 6, 2026
- Employees · 6 to 4Mar 27, 2025 to Mar 6, 2026
- Accounts · unset to 0.0Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 27, 2025
- HQ city · unset to Mar 26, 2024 to Mar 27, 2025
- HQ state · unset to Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · unset to 0.0Mar 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · unset to 0.0Mar 26, 2024 to Mar 27, 2025
- RAUM · unset to 0.0Mar 26, 2024 to Mar 27, 2025
- Advisory employees · 2 to 4Sep 20, 2023 to Mar 26, 2024
- Business name · K•••••• C•••••• L•• to K•••••• C•••••• R••••••• L••Sep 20, 2023 to Mar 26, 2024
- Legal name · K•••••• C•••••• L•• to K•••••• C•••••• R••••••• L••Sep 20, 2023 to Mar 26, 2024
- Employees · 5 to 6Mar 30, 2021 to Mar 30, 2022
- Other offices · 0 to 1Jun 11, 2020 to Mar 30, 2021
- Employees · 6 to 5Mar 16, 2020 to Jun 11, 2020
Signals
2 dated events
- Lee Jennifer Sheldon (Chief Compliance Officer) no longer on Schedule A of K•••••• C•••••• R••••••• L•• (listed 2020-03-16, absent 2020-06-11)Jun 11, 2020 · Control person left · inference
- K•••••• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 15, 2019 · 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
- Principal office phone
- 508-350-7150reportedpublic record, Form ADV, Mar 6, 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
- No RAUM reportedderiveda 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