DFX Intelligence
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Former SEC-registered adviser
K••••••• G•••••
Legal name K••••••• G••••• L••
Latest filing May 28, 2025
First filing on the tape Aug 17, 2020 · 11 filings
SEC status approved since Mar 17, 2022
RAUM
$69.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
67%
$46.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$69.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$69.4M as of May 28, 2025
Mar 31, 2021$76.0M then
HNW client RAUM$46.8M as of May 28, 2025
Mar 31, 2021$70.0M then
State-registered IARs (5.B.3)1 as of May 28, 2025
Mar 31, 20211 then
Employees (5.A)1 as of May 28, 2025
Mar 31, 20211 then
Private funds: no history
RAUM -13% over the last fiscal year-8.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 28, 2025; every figure names its basis
- RAUM per advisor
- $69.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $69.4M, 69,366,640 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$46.8M67%
- Corporations and businesses$22.6M33%
- Individual clients
- n/areported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 38reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.4M for 69,366,640 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••• F•••• | Miami Beach, Fl | Oct 15, 2025 | 22 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- N•••• F•••• from S••••••• G•••• C••••••Oct 15, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• N•••• · Managing Director / Ccocontrolsince 06/2020 · owns 75% or more
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
- Advisory activities · 2 to 4Mar 12, 2025 to May 28, 2025
- Wrap assets (manager) · 0.0 to unsetMar 12, 2025 to May 28, 2025
- Wrap assets (sponsor) · 0.0 to unsetMar 12, 2025 to May 28, 2025
- Accounts · 39 to 38Mar 21, 2024 to Mar 12, 2025
- Corporate clients · 10 to 9Mar 21, 2024 to Mar 12, 2025
- Assets in custody · unset to 69366640.0Mar 21, 2024 to Mar 12, 2025
- Custody of client assets · false to trueMar 21, 2024 to Mar 12, 2025
- HQ city · unset to Mar 21, 2024 to Mar 12, 2025
- HQ state · unset to Mar 21, 2024 to Mar 12, 2025
- HNW RAUM · $56.1M to $46.8MMar 21, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $79.9M to $69.4MMar 21, 2024 to Mar 12, 2025
- RAUM · $79.9M to $69.4MMar 21, 2024 to Mar 12, 2025
- Accounts · 33 to 39Aug 17, 2023 to Mar 19, 2024
- Charity clients · 1.0 to unsetAug 17, 2023 to Mar 19, 2024
- Corporate clients · 7 to 10Aug 17, 2023 to Mar 19, 2024
- HNW clients · 23 to 29Aug 17, 2023 to Mar 19, 2024
- HNW RAUM · $50.0M to $56.1MAug 17, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $73.0M to $79.9MAug 17, 2023 to Mar 19, 2024
- RAUM · $73.0M to $79.9MAug 17, 2023 to Mar 19, 2024
- Accounts · 35 to 33Apr 19, 2023 to Aug 17, 2023
- HNW clients · 27 to 23Apr 19, 2023 to Aug 17, 2023
- HNW RAUM · $59.0M to $50.0MApr 19, 2023 to Aug 17, 2023
- Non-discretionary RAUM · $90.0M to $73.0MApr 19, 2023 to Aug 17, 2023
- RAUM · $90.0M to $73.0MApr 19, 2023 to Aug 17, 2023
- Accounts · 16 to 35Mar 31, 2021 to Mar 16, 2022
- Advisory activities · 4 to 2Mar 31, 2021 to Mar 16, 2022
- BD registered reps · 1 to 0Mar 31, 2021 to Mar 16, 2022
- Corporate clients · 3 to 7Mar 31, 2021 to Mar 16, 2022
- HNW clients · 12 to 27Mar 31, 2021 to Mar 16, 2022
- Discretionary RAUM · $25.0M to $0Mar 31, 2021 to Mar 16, 2022
- HNW RAUM · $70.0M to $59.0MMar 31, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $51.0M to $90.0MMar 31, 2021 to Mar 16, 2022
- RAUM · $76.0M to $90.0MMar 31, 2021 to Mar 16, 2022
- Accounts · 0 to 16Sep 25, 2020 to Mar 31, 2021
- Charity clients · unset to 1.0Sep 25, 2020 to Mar 31, 2021
- Corporate clients · unset to 3.0Sep 25, 2020 to Mar 31, 2021
- HNW clients · unset to 12.0Sep 25, 2020 to Mar 31, 2021
- HQ city · MIAMI BEACH to unsetSep 25, 2020 to Mar 31, 2021
- HQ state · FL to unsetSep 25, 2020 to Mar 31, 2021
- Discretionary RAUM · $0 to $25.0MSep 25, 2020 to Mar 31, 2021
Signals
2 dated events
- K••••••• G••••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $69.4M)Jul 1, 2025 · Left the SEC roster · derived
- K••••••• G••••• filed its initial SEC registration (Form ADV)Aug 17, 2020 · 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
- Website
- k•••••••••.comreportedpublic record, Form ADV, Mar 23, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $69.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026