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•••••• L••
Latest filing Aug 27, 2026
First filing on the tape May 28, 2025 · 6 filings
SEC status approved since May 29, 2025
RAUM
$65.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
26%
$17.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$21.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$65.4M as of Aug 27, 2026
May 28, 2025$258M then
HNW client RAUM$17.0M as of Aug 27, 2026
May 28, 2025$8.0M then
State-registered IARs (5.B.3)3 as of Aug 27, 2026
May 28, 20252 then
Employees (5.A)3 as of Aug 27, 2026
May 28, 20252 then
Private funds1 as of Oct 6, 2025
May 28, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $21.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $997,149derivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$48.5M74%
- High-net-worth individuals$17.0M26%
- Individual clients
- n/areported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.26 fund_share=0.74 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D•••• S••••••• | New York, Ny | Jun 28, 2021 | 28 y | 0 |
| T••••• E••••• M•••••• | New York, Ny | Oct 13, 2021 | 13 y | 0 |
| J••• S••••• | New York, Ny | Sep 9, 2025 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- J••• W• J•••• to M••••• S••••••Dec 19, 2024 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• T•••••• E• · Managing Partnercontrolsince 11/2021 · owns 25% to 50%
- S•••••••• J••••• D•••• · Managing Partner And Chief Compliance Officercontrolsince 04/2021 · owns 25% to 50%
- G•••••••• P•••• B•••• · Membersince 04/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 27, 2026financial planning (Item 5.G.1): yes on the filing of 2026-03-27, no on the filing of 2026-08-27peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 24 to 26Mar 27, 2026 to Aug 27, 2026
- Discretionary RAUM · $61.1M to $65.4MMar 27, 2026 to Aug 27, 2026
- HNW RAUM · $17.4M to $17.0MMar 27, 2026 to Aug 27, 2026
- Pooled vehicle RAUM · $43.7M to $48.5MMar 27, 2026 to Aug 27, 2026
- RAUM · $61.1M to $65.4MMar 27, 2026 to Aug 27, 2026
- Accounts · 8 to 24Oct 6, 2025 to Mar 27, 2026
- HNW clients · 7 to 17Oct 6, 2025 to Mar 27, 2026
- Private funds · 1 to unsetOct 6, 2025 to Mar 27, 2026
- Discretionary RAUM · $258M to $61.1MOct 6, 2025 to Mar 27, 2026
- HNW RAUM · $8.0M to $17.4MOct 6, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $250M to $43.7MOct 6, 2025 to Mar 27, 2026
- RAUM · $258M to $61.1MOct 6, 2025 to Mar 27, 2026
- Advisory employees · 2 to 3Aug 14, 2025 to Oct 6, 2025
- Employees · 2 to 3Aug 14, 2025 to Oct 6, 2025
- Financial planning clients · 0 to 0Aug 14, 2025 to Oct 6, 2025
- State-registered IARs · 2 to 3Aug 14, 2025 to Oct 6, 2025
- Other offices · 0 to 1Jul 30, 2025 to Aug 14, 2025
Signals
2 dated events
- K•••• C•••••• L•• reported RAUM $61.1M, down 76% from $258.0M (2025-10-06 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- J••• W• J•••• left K•••• C•••••• L•• for M••••• S•••••• (registered 2024-03-01)Dec 19, 2024 · Advisor changed firm · 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, Sep 18, 2026
- Principal office phone
- 212-457-1268reportedpublic record, Form ADV, Aug 27, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026