KA FUND ADVISORS, LLC
Adviser information for KA FUND ADVISORS, LLC last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 40 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $2.4B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $2.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $2.4B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-67089 |
|---|---|
| SEC ERA File Number | 801-67089 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141037 |
| Legal Entity Identifier | None |
Principal Office
717 TEXAS AVENUE22ND FLOOR
HOUSTON
TX
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 713-493-2020, Fax: None
Websites
Chief Compliance Officer
MICHAEL O'NEIL
CHIEF COMPLIANCE OFFICER
2121 AVENUE OF THE STARS
NINTH FLOOR
LOS ANGELES
CA
United States
Tel:
310.282.7905
Fax:
310.282.7955
M*****@***************M
(Full email address available in API data)
Regulatory Contact
MATTHEW BARBABELLA
GENERAL COUNSEL
2121 AVENUE OF THE STARS
NINTH FLOOR
LOS ANGELES
CA
United States
Tel:
310-284-5555
M**********@***************M
(Full email address available in API data)
Industry Affiliates
| KA ASSOCIATES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| KA CREDIT ADVISORS II, LLC | Other investment adviser, including financial planners |
| KA CREDIT ADVISORS, LLC | Other investment adviser, including financial planners |
| KAYNE ANDERSON CAPITAL ADVISORS LP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SINNOTT, ROBERT, VOSE | Individual | – | CO-CHAIRMAN OF MANAGER | 04/2010 | < 5% |
| KAYNE ANDERSON CAPITAL ADVISORS LP | Domestic Entity | – | MEMBER/MANAGER | 06/2006 | 50-75% |
| KAYNE, RICHARD, ALAN | Individual | KAYNE ANDERSON CAPITAL ADVISORS LP | CO-CHAIRMAN & FOUNDER | 06/2010 | 25-50% |
| KAYNE, RICHARD, ALAN | Individual | – | CO-CHAIRMAN AND FOUNDER OF MANAGER | 07/2016 | < 5% |
| O'NEIL, MICHAEL, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2012 | < 5% |
| BLANK, PAUL, STUART | Individual | – | PRESIDENT AND CHIEF OPERATING OFFICER OF MANAGER | 01/2023 | < 5% |
| BAKER, JAMES, CHARLES | Individual | – | CO-MANAGING PARTNER | 07/2020 | 25-50% |
| RABIL, ALBERT | Individual | – | CHIEF EXECUTIVE OFFICER OF MANAGER | 06/2021 | < 5% |
| Barbabella, Matthew, J | Individual | – | GENERAL COUNSEL OF MANAGER | 07/2021 | < 5% |
| STAPLETON, PAUL, FRANCIS | Individual | – | CHIEF FINANCIAL OFFICER | 12/2023 | < 5% |
| JAVIDI, ERIC, MICHAEL | Individual | – | CO-MANAGING PARTNER | 12/2023 | < 5% |