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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SEC-registered adviser
K•••••••• C•••••• M••••••••• L•••
Latest filing Apr 17, 2026
First filing on the tape Jul 27, 2019 · 19 filings
SEC status approved since Aug 26, 2019
RAUM
$3.8B
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
33
26 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$3.8B as of Apr 17, 2026
Mar 30, 2020$208M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 17, 2026
Mar 30, 20200 then
Employees (5.A)33 as of Apr 17, 2026
Mar 30, 20208 then
Private funds15 as of Apr 17, 2026
Mar 30, 20207 then
RAUM +27% over the last fiscal year+40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 17, 2026; 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
- $234MderivedRAUM 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
- +27%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
- Custody
- $3.8B, 16 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.8B for 16 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•••••••• C•••••• O••••••••• F••• I• L••• | Private Equity Fund | $372M | 22 | Dec 24, 2019 |
| K•••••••• C•••••• O••••••••• F••• I•• L••• | Private Equity Fund | $240M | 53 | Mar 31, 2023 |
| K•••••••• C•••••• O••••••••• F••• I•••• L••• | Private Equity Fund | $211M | 31 | Mar 31, 2023 |
| S• A••••••••• L•• | Private Equity Fund | $190M | 7 | Mar 31, 2023 |
| K•••••••• C•••••• O••••••••• F••• I••• L••• | Private Equity Fund | $124M | 11 | Dec 24, 2019 |
| K•••••••• C•••••• I• L• | Private Equity Fund | $71.8M | 2 | Jul 27, 2019 |
| K•••••••• G•••••• F••• I• L••no longer reported | Private Equity Fund | $35.1M | 7 | Jul 27, 2019 |
| K•••••••• G•••••• F••• I• H•••••••• L•• | Private Equity Fund | $24.1M | 7 | Dec 24, 2019 |
| A••• H•••••• C••••••• L••no longer reported | Private Equity Fund | $8.4M | 7 | Jul 27, 2019 |
| A••• A••••••••• L•• | Private Equity Fund | $37,278 | 7 | Mar 30, 2020 |
| K•••••••• O••••••••• F••• I• L••no longer reported | Private Equity Fund | $1,179 | 18 | Jul 27, 2019 |
| K•••••••• W••• A••••••••• L•no longer reported | Private Equity Fund | $714 | 2 | Dec 24, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C•••• I••••• D•••• · Chief Compliance Officer And Chief Financial Officercontrolsince 08/2021 · owns less than 5%
- W•••• A••••••••• M••••••• · Limited Partnercontrolsince 06/2019 · owns 75% or more
- W•••• A••••••••• M••••••• · Managing Membercontrolsince 06/2019 · owns 75% or more of K•••••••• C•••••• U••• L••
Entity owners
- K•••••••• C•••••• U••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- K•••••••• C•••••• G•• L••pooled vehicle sponsorn
- K•••••••• C•••••• O••••••••• F••• I• G•• L•••pooled vehicle sponsorn
- K•••••••• C•••••• O••••••••• F••• I• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 16Dec 5, 2025 to Mar 31, 2026
- Advisory employees · 20 to 26Dec 5, 2025 to Mar 31, 2026
- Pooled vehicle clients · 15 to 16Dec 5, 2025 to Mar 31, 2026
- Assets in custody · $2.9B to $3.8BDec 5, 2025 to Mar 31, 2026
- Employees · 24 to 33Dec 5, 2025 to Mar 31, 2026
- Private funds · 14 to 15Dec 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.9B to $3.8BDec 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.9B to $3.8BDec 5, 2025 to Mar 31, 2026
- RAUM · $2.9B to $3.8BDec 5, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 9, 2025
- Accounts · 9 to 15Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 16 to 20Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 9 to 15Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $1.7B to $2.9BMar 28, 2024 to Mar 31, 2025
- Employees · 21 to 24Mar 28, 2024 to Mar 31, 2025
- Private funds · 8 to 14Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.7B to $2.9BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.7B to $2.9BMar 28, 2024 to Mar 31, 2025
- RAUM · $1.7B to $2.9BMar 28, 2024 to Mar 31, 2025
- Advisory employees · 12 to 16Apr 20, 2023 to Mar 28, 2024
- Assets in custody · $1.4B to $1.7BApr 20, 2023 to Mar 28, 2024
- Employees · 15 to 21Apr 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $1.7BApr 20, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.4B to $1.7BApr 20, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.7BApr 20, 2023 to Mar 28, 2024
- Accounts · 6 to 9Mar 29, 2022 to Mar 31, 2023
- Advisory employees · 8 to 12Mar 29, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 9Mar 29, 2022 to Mar 31, 2023
- Assets in custody · $483M to $1.4BMar 29, 2022 to Mar 31, 2023
- Employees · 9 to 15Mar 29, 2022 to Mar 31, 2023
- Private funds · 5 to 8Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $483M to $1.4BMar 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $483M to $1.4BMar 29, 2022 to Mar 31, 2023
- RAUM · $483M to $1.4BMar 29, 2022 to Mar 31, 2023
- Accounts · 7 to 6Sep 8, 2021 to Mar 29, 2022
- Advisory employees · 6 to 8Sep 8, 2021 to Mar 29, 2022
- Pooled vehicle clients · 7 to 6Sep 8, 2021 to Mar 29, 2022
- Assets in custody · $240M to $483MSep 8, 2021 to Mar 29, 2022
- Employees · 8 to 9Sep 8, 2021 to Mar 29, 2022
- Private funds · 7 to 5Sep 8, 2021 to Mar 29, 2022
Signals
9 dated events
- K•••••••• C•••••• M••••••••• L••• reported RAUM $3.8B, up 27% from $2.9B (2025-12-05 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- K•••••••• C•••••• M••••••••• L••• reported RAUM $2.9B, up 75% from $1.7B (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- K•••••••• C•••••• M••••••••• L••• reported RAUM $1.4B, up 182% from $482.8M (2022-03-29 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- K•••••••• C•••••• M••••••••• L••• reported RAUM $482.8M, up 101% from $240.5M (2021-09-08 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Zhou Lauren Pan (Chief Compliance Officer) no longer on Schedule A of K•••••••• C•••••• M••••••••• L••• (listed 2021-05-07, absent 2021-09-08)Sep 8, 2021 · Control person left · inference
- Devan Ivane Chou (Chief Compliance Officer And Chief Financial Officer) appeared on Schedule A of K•••••••• C•••••• M••••••••• L•••Sep 8, 2021 · Control person joined · fact
- Zhou Lauren Pan (Chief Compliance Officer) appeared on Schedule A of K•••••••• C•••••• M••••••••• L•••Mar 30, 2020 · Control person joined · fact
- K•••••••• C•••••• M••••••••• L••• reported RAUM $180.7M, up 177% from $65.4M (2019-08-02 to 2019-12-24)Dec 24, 2019 · RAUM change · derived
- K•••••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jul 27, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- K•••••••• C•••••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- K•••••••• C•••••• M••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/kingswood-capital-management/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- kingswood-capital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 424-200-6600reportedpublic record, Form ADV, Apr 17, 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
- Asset manager (funds and pooled vehicles)deriveda 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