Kainos Capital LP (Dallas)


Kainos Capital LP is a large advisory firm based in Dallas. It manages $2.02 billion of regulatory assets for 17 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdiction of Texas.

Kainos Capital provides portfolio management for pooled investment vehicles and portfolio company management services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Kainos Capital: assets under management

The assets under management (AUM) of Kainos Capital LP is $2.02 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -11% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.02 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $118.55 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kainos Capital LP for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kainos Capital serves?

The only and largest group of clients of Kainos Capital is pooled investment vehicles with 17 clients and $2.02 billion of assets under management. Among the 7 most similar advisory firms, Kainos Capital has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $2.02 billion for 17 clients. None of the firm’s clients are foreign persons or businesses.

Kainos Capital also advises several private funds. Namely, twenty private equity funds. The minimum investment commitment required of non-related persons ranges from $0 to $10,000,000.

Careers at Kainos Capital LP

The company employs 22 people that are either part- or full-time employees. 73 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
William Gerald Neisel Treasurer, chief compliance officer and assistant secretary 1 Aug 2012 Other 6014060
David William Knickel Vice president, chief financial officer and secretary 1 Aug 2012 Other 6019864
Sarah Ashmore Bradley Partner 1 Aug 2012 Other 4159100
Andrew Scott Rosen Partner 1 Aug 2012 25% - 50% 6019860
Robert William Sperry Partner 1 Aug 2012 Other 6019863
Daniel John Hopkin Partner 1 Apr 2016 Other 4560920
Kevin Edward Elliott Partner 1 Apr 2016 Other 6661483
Kainos Capital Llc General partner 1 Apr 2016 Other 38-4006227
Nirav Shah Partner 1 Apr 2016 Other 6661480

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Robert William Sperry Shareholder 1 Apr 2010 25% - 50% 6019863
Andrew Scott Rosen Shareholder 1 Apr 2016 50% - 75% 6019860

Based in Dallas

The principal office where Kainos Capital LP performs its advisory services is located at 2100 Mckinney, Dallas, TX 75201, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-740-7300 or by fax 214-720-7888. The normal business hours are 8:30am to 5:30pm on Monday - Friday. You can find more information about the New York firm at kainoscapital.com and its LinkedIn profile.