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

A•••••••• C•••••••••

No RAUM reportedNew York, New YorkCRD 323504SEC 801-131842websiteIAPD
Latest filing Jul 20, 2026
First filing on the tape Dec 18, 2024 · 4 filings
SEC status approved since Apr 7, 2025
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Jul 20, 2026
Apr 28, 2025$0 then
HNW client RAUM$0 as of Jul 20, 2026
Apr 28, 2025$0 then
State-registered IARs (5.B.3)2 as of Jul 20, 2026
Apr 28, 20252 then
Employees (5.A)3 as of Jul 20, 2026
Apr 28, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jul 20, 2026; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
1derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$0derivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, performancereported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K••••• B•••••••• K•••••New York, Ny Apr 28, 202510 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••• K•••••• B•••••••• · Presidentcontrol
      since 01/2022 · owns 50% to 75%
    • L••••••••• M••••••• J•• · Coocontrol
      since 01/2023 · owns 25% to 50%
    • B•••• R•••••• L•• · Cco
      since 03/2022 · owns less than 5%
    Entity owners
    • C••• A••••••••• L•• · Shareholder
      direct · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    New York, Ny · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · unset to 0.0
      Dec 18, 2024 to Apr 28, 2025
    • HNW clients · 0 to 2
      Dec 18, 2024 to Apr 28, 2025
    • Financial planning clients · 0 to 0
      Dec 18, 2024 to Apr 28, 2025
    • Discretionary RAUM · unset to 0.0
      Dec 18, 2024 to Apr 28, 2025
    • Non-discretionary RAUM · unset to 0.0
      Dec 18, 2024 to Apr 28, 2025
    • RAUM · unset to 0.0
      Dec 18, 2024 to Apr 28, 2025
    • Related adviser · true to false
      Dec 18, 2024 to Apr 28, 2025
    Signals
    1 dated events
    • A•••••••• C••••••••• filed its initial SEC registration (Form ADV)
      Dec 18, 2024 · 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
    a••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    917 923 9649reportedpublic record, Form ADV, Jul 20, 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
    No RAUM reportedderiveda 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