{"url":"https://nivawealth.com/firms/k1-investment-management-161953","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/161953","regulatoryAum":23604367641,"crd":"161953","secFileNumber":"801-107640","legalName":"K1 Investment Management LLC","displayName":"K1 Investment Management","website":null,"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"875 Manhattan Beach BLVD","city":"Manhattan Beach","state":"CA","stateName":"California","country":"United States","postalCode":"90266-4911"},"tradeNames":[],"registration":{"secApproved":"8 April 2016","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":75,"advisory":64,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":23435367641,"discretionaryAccounts":23,"nonDiscretionary":169000000,"nonDiscretionaryAccounts":3,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":26,"regulatoryAum":23604367641}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"K1 Investment Management has custody of $23.34B for 22 clients.","otherCustodians":[],"leadership":[{"name":"Neil Malik","title":"Chief Executive Officer and Managing Partner","crd":"4937358"},{"name":"Jean Kisaka","title":"Chief Compliance Officer and Vice President","crd":"7896345"}],"ownership":[{"label":"MDK Limited Partners","detail":"Sole member in the 75% or more ownership band and a control person, since December 2012."},{"label":"Neil Malik","detail":"Indirect owner: general partner of MDK Limited Partners and a control person, since December 2012.","parent":"MDK Limited Partners"},{"label":"Kate Malik","detail":"Indirect owner: general partner of MDK Limited Partners and a control person, since December 2012.","parent":"MDK Limited Partners"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"875 Manhattan Beach BLVD","city":"Manhattan Beach","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-310-2870","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":26},"sources":{"adv1FilingDate":"3 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/161953/PDF/161953.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does K1 Investment Management have?","answer":"K1 Investment Management has 26 clients and manages $23.6 billion for them, as of August 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 3 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does K1 Investment Management offer?","answer":"K1 Investment Management provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does K1 Investment Management have?","answer":"K1 Investment Management has 0 investment adviser representatives registered with state securities authorities, out of 75 employees, and 64 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns K1 Investment Management?","answer":"K1 Investment Management’s direct owner is MDK Limited Partners (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 3 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does K1 Investment Management get paid?","answer":"K1 Investment Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}