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••••• A••••••• I•• L••
Latest filing Mar 13, 2026
First filing on the tape Dec 10, 2020 · 12 filings
SEC status approved since Jan 12, 2021
RAUM
$395M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$395M
derived; firm RAUM over IAPD count
Employees
64
35 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$395M as of Mar 13, 2026
Mar 30, 2022$354M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Mar 30, 20222 then
Employees (5.A)64 as of Mar 13, 2026
Mar 30, 202246 then
Private funds: no history
RAUM +1.1% over the last fiscal year+3.2% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 13, 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
- $395MderivedRAUM 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
- $395MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 64.0derivedItem 5.A over advisors
- Advisors per office
- 0.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
- 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
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0derived
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
- B••••••••• M••••••• J• · General Counsel Of Managercontrolsince 07/2021 · owns less than 5%
- B••••• P•••• S••••• · President And Chief Operating Officer Of Managercontrolsince 01/2023 · owns less than 5%
- O•••••• M••••••• J••••• · Chief Compliance Officercontrolsince 10/2020 · owns less than 5%
- R••••• A••••• · Chief Executive Officer Of Managercontrolsince 06/2021 · owns less than 5%
- S••••••••• P•••• F•••••• · Chief Financial Officer Of Managercontrolsince 10/2020 · owns less than 5%
- K••••• R••••••• A••• · Co-Chairman & Foundercontrolsince 06/2010 · owns 25% to 50% of Kayne Anderson Capital Advisors LP
- K••••• R••••••• A••• · Owner, President And Directorcontrolsince 08/1995 · owns F of Ka Holdings, Inc.
Entity owners
- K••• M•••••• H•••••••• L••• · Memberdirect · owns 75% or more
- K•••• A••••••• C•••••• A••••••• L• · Managing Memberdirect · owns less than 5%
- K• H•••••••• I••• · Ownerindirect · owns F of Kayne Anderson Investment Management, Inc.
- K••• F•••••• L••• · Limited Partnerindirect · owns 75% or more of Kapc Manager Holdings, L.P.
- K••• G•• L•• · General Partnerindirect · owns F of Kapc Manager Holdings, L.P.
- K••• G•• L•• · General Partnerindirect · owns F of Kapc Feeder, L.P.
- K•••• A••••••• C•••••• A••••••• L• · Limited Partnerindirect · owns 25% to 50% of Kapc Feeder, L.P.
- K•••• A••••••• C•••••• A••••••• L• · Managing Memberindirect · owns 75% or more of Kapc Gp, LLC
- K•••• A••••••• I••••••••• M••••••••• I••• · General Partnerindirect · owns F of Kayne Anderson Capital Advisors LP
Related persons
Schedule D 7.A
- K• A••••••••• I•••broker-dealern
- Ka Credit Advisors, LLCinvestment advisernRAUM $2.3B
- Ka Fund Advisors, LLCinvestment adviserbanknRAUM $3.2B
- Kayne Anderson Capital Advisors, L.P.investment adviserbankpooled vehicle sponsoryRAUM $34B
Advisers that list K• C••••• A••••••• I•• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL20 employees
- New York, NY5 employees
- Los Angeles, CA2 employees
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Advisory employees · 31 to 35Feb 11, 2025 to Mar 13, 2026
- BD registered reps · 4 to 3Feb 11, 2025 to Mar 13, 2026
- Employees · 60 to 64Feb 11, 2025 to Mar 13, 2026
- Insurance-licensed employees · 2 to 1Feb 11, 2025 to Mar 13, 2026
- State-registered IARs · 2 to 1Feb 11, 2025 to Mar 13, 2026
- Discretionary RAUM · $391M to $395MFeb 11, 2025 to Mar 13, 2026
- RAUM · $391M to $395MFeb 11, 2025 to Mar 13, 2026
- Advisory employees · 29 to 31Feb 23, 2024 to Feb 11, 2025
- Employees · 56 to 60Feb 23, 2024 to Feb 11, 2025
- Financial planning clients · unset to Feb 23, 2024 to Feb 11, 2025
- Discretionary RAUM · $350M to $391MFeb 23, 2024 to Feb 11, 2025
- RAUM · $350M to $391MFeb 23, 2024 to Feb 11, 2025
- Advisory employees · 28 to 29Dec 8, 2023 to Feb 23, 2024
- Employees · 58 to 56Dec 8, 2023 to Feb 23, 2024
- Discretionary RAUM · $360M to $350MDec 8, 2023 to Feb 23, 2024
- RAUM · $360M to $350MDec 8, 2023 to Feb 23, 2024
- Advisory employees · 26 to 28Mar 30, 2022 to Mar 2, 2023
- BD registered reps · 2 to 4Mar 30, 2022 to Mar 2, 2023
- Employees · 46 to 58Mar 30, 2022 to Mar 2, 2023
- Discretionary RAUM · $354M to $360MMar 30, 2022 to Mar 2, 2023
- RAUM · $354M to $360MMar 30, 2022 to Mar 2, 2023
- Advisory employees · 25 to 26Jul 27, 2021 to Mar 30, 2022
- Employees · 45 to 46Jul 27, 2021 to Mar 30, 2022
- Discretionary RAUM · $350M to $354MJul 27, 2021 to Mar 30, 2022
- RAUM · $350M to $354MJul 27, 2021 to Mar 30, 2022
- Accounts · 0 to 1Dec 10, 2020 to May 11, 2021
- Discretionary RAUM · $0 to $350MDec 10, 2020 to May 11, 2021
- RAUM · $0 to $350MDec 10, 2020 to May 11, 2021
Signals
8 dated events
- Vose Robert Sinnott (Co-Chairman Of Manager) no longer on Schedule A of Ka Credit Advisors Ii, Llc (listed 2023-06-16, absent 2023-11-30)Nov 30, 2023 · Control person left · inference
- Francis Paul Stapleton (Chief Financial Officer Of Manager) appeared on Schedule A of Ka Credit Advisors Ii, LlcMar 30, 2022 · Control person joined · fact
- J Matthew Barbabella (General Counsel Of Manager) appeared on Schedule A of Ka Credit Advisors Ii, LlcMar 30, 2022 · Control person joined · fact
- Vose Robert Sinnott (Co-Chairman Of Manager) appeared on Schedule A of Ka Credit Advisors Ii, LlcMar 30, 2022 · Control person joined · fact
- Vincent Jarvis Hollingsworth (General Counsel Of Manager) no longer on Schedule A of Ka Credit Advisors Ii, Llc (listed 2021-07-02, absent 2021-07-27)Jul 27, 2021 · Control person left · inference
- Jeffrey Michael Levitt (Chief Executive Officer Of Manager) no longer on Schedule A of Ka Credit Advisors Ii, Llc (listed 2021-05-11, absent 2021-07-02)Jul 2, 2021 · Control person left · inference
- Albert Rabil (Chief Executive Officer Of Manager) appeared on Schedule A of Ka Credit Advisors Ii, LlcJul 2, 2021 · Control person joined · fact
- Ka Credit Advisors Ii, Llc filed its initial SEC registration (Form ADV)Dec 10, 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
- Principal office phone
- 713-493-2000reportedpublic record, Form ADV, Mar 13, 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
- $395Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026