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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Former SEC-registered adviser
K••••• C••••••
Legal name K••••• C••••••• L••
Latest filing Mar 4, 2025
First filing on the tape Nov 2, 2022 · 7 filings
SEC status approved since Dec 2, 2022
RAUM
$561M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.8%
$27.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$561M as of Mar 4, 2025
Mar 23, 2023$678M then
HNW client RAUM$22.8M as of Mar 4, 2025
Mar 7, 2024$3.5M then
State-registered IARs (5.B.3)2 as of Mar 4, 2025
Mar 23, 20231 then
Employees (5.A)2 as of Mar 4, 2025
Mar 23, 20231 then
Private funds: no history
RAUM -15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 2025; every figure names its basis
- RAUM per advisor
- $281MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $5.7MderivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +67%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$529M94%
- High-net-worth individuals$22.8M4.1%
- Corporations and businesses$5.5M1.0%
- Individuals$4.1M0.7%
- Individual clients
- 18reported
- HNW clients
- 7reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 98reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
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
- B•••••• H••• K••••• to N•• E••• W•••••Jun 12, 2025 · Other
- P••• R•••••• P••••••• I•••• to N•• E••• W•••••Apr 17, 2025 · Other
Joined, latest
- P••• R•••••• P••••••• I•••• from E••• C•••••• G••••• L••Nov 20, 2023 · Other
- B•••••• H••• K••••• from E••• C•••••• G••••• L••Aug 19, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• B••••••• H••• · Principal Owner, Ccocontrolsince 06/2022 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Alpharetta, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ state · unset to Mar 7, 2024 to Mar 4, 2025
- Accounts · 16 to 98Mar 7, 2024 to Mar 4, 2025
- Corporate clients · 0 to 5Mar 7, 2024 to Mar 4, 2025
- HNW clients · 2 to 7Mar 7, 2024 to Mar 4, 2025
- Individual clients · 13 to 18Mar 7, 2024 to Mar 4, 2025
- HQ city · unset to Mar 7, 2024 to Mar 4, 2025
- Discretionary RAUM · $663M to $561MMar 7, 2024 to Mar 4, 2025
- HNW RAUM · $3.5M to $22.8MMar 7, 2024 to Mar 4, 2025
- Individual RAUM · $2.1M to $4.1MMar 7, 2024 to Mar 4, 2025
- RAUM · $663M to $561MMar 7, 2024 to Mar 4, 2025
- Accounts · 5 to 16Oct 19, 2023 to Mar 7, 2024
- Advisory employees · 1 to 2Oct 19, 2023 to Mar 7, 2024
- Advisory activities · 4 to 5Oct 19, 2023 to Mar 7, 2024
- Charity clients · unset to 0.0Oct 19, 2023 to Mar 7, 2024
- Corporate clients · unset to 0.0Oct 19, 2023 to Mar 7, 2024
- HNW clients · unset to 2.0Oct 19, 2023 to Mar 7, 2024
- Individual clients · 4 to 13Oct 19, 2023 to Mar 7, 2024
- Pension plan clients · unset to 0.0Oct 19, 2023 to Mar 7, 2024
- Pooled vehicle clients · unset to 0.0Oct 19, 2023 to Mar 7, 2024
- State-registered IARs · 1 to 2Oct 19, 2023 to Mar 7, 2024
- Discretionary RAUM · $678M to $663MOct 19, 2023 to Mar 7, 2024
- HNW RAUM · unset to 3514431.0Oct 19, 2023 to Mar 7, 2024
- Individual RAUM · $1.7M to $2.1MOct 19, 2023 to Mar 7, 2024
- Pension RAUM · unset to 0.0Oct 19, 2023 to Mar 7, 2024
- Pooled vehicle RAUM · unset to 0.0Oct 19, 2023 to Mar 7, 2024
- RAUM · $678M to $663MOct 19, 2023 to Mar 7, 2024
- Employees · 1 to 2Mar 23, 2023 to Oct 19, 2023
- Accounts · 1 to 5Nov 7, 2022 to Mar 23, 2023
- Individual clients · unset to 4.0Nov 7, 2022 to Mar 23, 2023
- Discretionary RAUM · $675M to $678MNov 7, 2022 to Mar 23, 2023
- Individual RAUM · unset to 1662717.0Nov 7, 2022 to Mar 23, 2023
- RAUM · $675M to $678MNov 7, 2022 to Mar 23, 2023
Signals
4 dated events
- K••••• C•••••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $561.4M)Jul 1, 2025 · Left the SEC roster · derived
- B•••••• H••• K••••• left K••••• C•••••• for N•• E••• W••••• (registered 2025-04-24)Jun 12, 2025 · Advisor changed firm · fact
- P••• R•••••• P••••••• I•••• left K••••• C•••••• for N•• E••• W••••• (registered 2025-04-24)Apr 17, 2025 · Advisor changed firm · fact
- K••••• C•••••• filed its initial SEC registration (Form ADV)Nov 2, 2022 · 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026