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Former SEC-registered adviser

K••••• S•••••••

Former SEC-registered adviserCRD 328317SEC 801-130871IAPD
Legal name L•• K••••• M••••
Latest filing Jul 15, 2024
First filing on the tape Jul 4, 2024 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$1,000 gross assets
History
3 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 15, 2024
Jul 4, 20241 then
Employees (5.A)2 as of Jul 15, 2024
Jul 4, 20242 then
Private funds1 as of Jul 15, 2024
Jul 4, 20241 then
Practice profile
derived from the filing of Jul 15, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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, hourly, fixed fees, subscription, performance-based, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, educational seminars, otherreportedItem 5.G
Custody
$1,000, 1 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • is a trust company (6.A.8)
  • 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)
  • the adviser acts as qualified custodian (9.D.1)
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
2reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1,000 for 1 clientsreported
Compensation
% of AUM, fixed, hourly, performance, commissionsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• M••••••• A•••Private Equity Fund$1,0001Jul 4, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • L••• K•••••• M•••• · Cco, Ceo,Cfo,Coo,Clocontrol
        since 07/2023 · owns 75% or more
      • A•••• A••••••• M••••••• · Registered Agent, Surety, Secretary, Chief Clerk
        since 07/2023 · owns F of L••• K•••••• M••••
      Related persons
      Schedule D 7.A
      Advisers that list K••••• S••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · unset to 1000.0
        Jul 9, 2024 to Jul 15, 2024
      • Custody of client assets · false to true
        Jul 9, 2024 to Jul 15, 2024
      • Advisory activities · 3 to 6
        Jul 4, 2024 to Jul 9, 2024
      • Legal name · K••••• S••••••• to L•• K••••• M••••
        Jul 4, 2024 to Jul 9, 2024
      • Related adviser · false to true
        Jul 4, 2024 to Jul 9, 2024
      • Related bank · false to true
        Jul 4, 2024 to Jul 9, 2024
      Signals
      1 dated events
      • K••••• S••••••• filed its initial SEC registration (Form ADV)
        Jul 4, 2024 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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