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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

KLR INVESTMENT ADVISORS, LLC

CRD 124716

PROVIDENCE, RI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:89b2eec4-bdc0-d52d-15b8-ec6db07c68be

Data as of Feb 7, 2024 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 14
On other graphs: 0
Observed: Mar 29, 2020 to Feb 7, 2024
21 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $255MItem 5.F on the latest filing (2024-02-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $255M
Private client RAUM: $251MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 5
Offices: 4Schedule D 1.F, beyond the principal office
Accounts: 426
Individual clients: 102
High net worth clients: 95
Custody, client assets: $12.1M
SEC number: 801-118575
CRD: 124716
Filings on the tape: 21
First filed: Mar 29, 2020
Latest filed: Feb 7, 2024
Organised: Limited Liability Company, Rhode Island

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
APTAKER, PERI, ANN	MANAGING DIRECTOR	Na	yes	10/2008	Mar 29, 2020	Feb 7, 2024
DEAN, STEVEN, THOMAS	CHIEF COMPLIANCE OFFICER	Na	yes	04/2023	Apr 27, 2023	Feb 7, 2024
GOODWIN, NATHAN, CHARLES	DIRECTOR OF OPERATIONS AND PLATFORMS	Na	yes	01/2024	Feb 7, 2024	Feb 7, 2024
KLR HOLDINGS, INC.	Owner	E	yes	12/2018	Mar 29, 2020	Feb 7, 2024
KLR WEALTH MANAGEMENT, LLC	Member	E	yes	07/2002	Mar 29, 2020	Feb 7, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
KAHN, LITWIN, RENZA & CO., LTD.	n/a	n/a	n/a	Y	yes	n/a
KLR INSURANCE ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
PERI ANN APTAKER	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	1	no
Waltham	Ma	United States	1	no
Newport	Ri	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Feb 7, 2024	$255M	$255M	7	5	4	n/a	n/a
2022	Mar 28, 2023	$253M	$253M	7	4	5	n/a	n/a
2021	Mar 29, 2022	$277M	$275M	6	4	3	n/a	n/a
2020	Mar 25, 2021	$216M	$213M	6	5	3	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$255M	$253M	0.7%	$216M	5.7%	7	7	4	5

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
BALDWIN WEALTH PARTNERS, LLC	3	Jul 2, 2024	Jul 1, 2024	PROVIDENCE, RI	Firm absorbed	RIA to RIA	60.0%

Relationships

Controls (5)

← GOODWIN, NATHAN, CHARLESOwnerDIRECTOR OF OPERATIONS AND PLATFORMS, ownership code NA, individual
Feb 7, 2024 to presentfactForm ADV
← DEAN, STEVEN, THOMASOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 27, 2023 to presentfactForm ADV
← APTAKER, PERI, ANNOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 29, 2020 to presentfactForm ADV
← KLR HOLDINGS, INC.OwnerOWNER, ownership code E, domestic entity
Mar 29, 2020 to presentfactForm ADV
← KLR WEALTH MANAGEMENT, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 29, 2020 to presentfactForm ADV

Registered with (9)

← NATHAN CHARLES GOODWINAdvisorregistration: previous registration
Dec 21, 2022 to Jul 2, 2024factForm ADV
← STEVEN THOMAS DEANAdvisorregistration: previous registration
Jun 14, 2023 to Jul 2, 2024factForm ADV
← CRAIG R. DUMASAdvisorregistration: previous registration
Nov 28, 2006 to Jul 2, 2024factForm ADV
← PERI ANN APTAKERAdvisorregistration: previous registration
Jun 20, 2006 to Jul 2, 2024factForm ADV
← MICHAEL BRIAN MCINTOSHAdvisorregistration: previous registration
Oct 11, 2023 to Jul 2, 2024factForm ADV
← Michael TrotterAdvisorregistration: previous registration
Dec 15, 2022 to Jul 12, 2023factForm ADV
← DAVID BONTECOU WRAYAdvisorregistration: previous registration
Apr 15, 2019 to Mar 11, 2022factForm ADV
← Richard Edward LaCrossAdvisorregistration: previous registration
Feb 23, 2011 to Jan 4, 2016factForm ADV
← EMILIO JOSEPH SENESIAdvisorregistration: previous registration
Jun 21, 2006 to Oct 7, 2008factForm ADV

Moved with (1)

→ BALDWIN WEALTH PARTNERS, LLCRegistered adviser2 advisors, team lift out, same day
Jul 2, 2024 to Jul 1, 2024factForm ADV

Dated events

Occurred
Jul 2, 2024
Team lift-out
2 advisors left Klr Investment Advisors, LLC (Providence, RI) for Baldwin Wealth Partners, LLC on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Jul 2, 2024
Advisor changed firm
Steven Thomas Dean left Klr Investment Advisors, Llc for Baldwin Wealth Partners, Llc (registered 2024-07-01)
Form ADVobserved 3 days ago
Occurred
Jul 2, 2024
Advisor changed firm
Craig R. Dumas left Klr Investment Advisors, Llc for Baldwin Wealth Partners, Llc (registered 2024-07-01)
Form ADVobserved 3 days ago
Occurred
Jul 2, 2024
Advisor changed firm
Nathan Charles Goodwin left Klr Investment Advisors, Llc for Baldwin Wealth Partners, Llc (registered 2024-07-01)
Form ADVobserved 3 days ago
Occurred
Jul 2, 2024
Advisor changed firm
Michael Brian Mcintosh left Klr Investment Advisors, Llc for Baldwin Wealth Partners, Llc (registered 2024-07-01)
Form ADVobserved 3 days ago
Occurred
Jul 2, 2024
Advisor changed firm
Peri Ann Aptaker left Klr Investment Advisors, Llc for Cetera Advisors Llc (registered 2008-09-17)
Form ADVobserved 3 days ago
Occurred
Feb 7, 2024
Control person left
R Craig Dumas (Chief Operating Officer) no longer on Schedule A of Klr Investment Advisors, Llc (listed 2023-09-01, absent 2024-02-07)
Form ADVobserved 3 days ago
Occurred
Feb 7, 2024
Control person left
Thomas Michael Tousignant (Member) no longer on Schedule A of Klr Investment Advisors, Llc (listed 2023-09-01, absent 2024-02-07)
Form ADVobserved 3 days ago
Occurred
Feb 7, 2024
Control person joined
Charles Nathan Goodwin (Director Of Operations And Platforms) appeared on Schedule A of Klr Investment Advisors, Llc
Form ADVobserved 3 days ago
Occurred
Jul 12, 2023
Advisor changed firm
Michael Trotter left Klr Investment Advisors, Llc for Citizens Securities, Inc. (registered 2023-07-13)
Form ADVobserved 3 days ago
Occurred
Apr 27, 2023
Control person joined
Thomas Steven Dean (Chief Compliance Officer) appeared on Schedule A of Klr Investment Advisors, Llc
Form ADVobserved 3 days ago
Occurred
Mar 10, 2023
Control person left
Henry Alan Litwin (Member) no longer on Schedule A of Klr Investment Advisors, Llc (listed 2022-10-05, absent 2023-03-10)
Form ADVobserved 3 days ago
Occurred
Mar 11, 2022
Advisor changed firm
David Bontecou Wray left Klr Investment Advisors, Llc for Catalyst Financial Partners (registered 2022-07-12)
Form ADVobserved 3 days ago
Occurred
Mar 29, 2020
First Form ADV filing
Klr Investment Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89b2eec4-bdc0-d52d-15b8-ec6db07c68be
First observed: Mar 29, 2020
Last observed: Feb 7, 2024 31 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KLR INVESTMENT ADVISORS, LLC

CRD 124716

PROVIDENCE, RI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:89b2eec4-bdc0-d52d-15b8-ec6db07c68be

Data as of Feb 7, 2024 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:50 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

APTAKER, PERI, ANN

MANAGING DIRECTOR

yes

10/2008

Mar 29, 2020

Feb 7, 2024

DEAN, STEVEN, THOMAS

CHIEF COMPLIANCE OFFICER

yes

04/2023

Apr 27, 2023

Feb 7, 2024

GOODWIN, NATHAN, CHARLES

DIRECTOR OF OPERATIONS AND PLATFORMS

yes

01/2024

Feb 7, 2024

KLR HOLDINGS, INC.

Owner

yes

12/2018

Mar 29, 2020

Feb 7, 2024

KLR WEALTH MANAGEMENT, LLC

Member

yes

07/2002

Mar 29, 2020

Feb 7, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

KAHN, LITWIN, RENZA & CO., LTD.

n/a

yes

n/a

KLR INSURANCE ADVISORS, LLC

n/a

yes

n/a

PERI ANN APTAKER

n/a

City

State

Country

Employees

Also broker-dealer

Boston

United States

Waltham

United States

Newport

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Feb 7, 2024

$255M

n/a

2022

Mar 28, 2023

$253M

n/a

2021

Mar 29, 2022

$277M

$275M

n/a

2020

Mar 25, 2021

$216M

$213M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$255M

$253M

0.7%

$216M

5.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BALDWIN WEALTH PARTNERS, LLC

Jul 2, 2024

Jul 1, 2024

PROVIDENCE, RI

Firm absorbed

RIA to RIA

60.0%