DFX Intelligence

I••••••••• I••••••••• A••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

I••••••••• I••••••••• A••••••• I•••

CRD 112282

HUNTINGTON, WV

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Search this name across graphsid dfx:ria:9ebb9aad-11b4-f4a9-3f90-57c8b7a3a24a

Data as of Jun 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jun 27, 2012
2 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: $72.8M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 208
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••••••• P•••• K••••	VICE PRESIDENT	C	yes	10/2004	Mar 30, 2012	Jun 27, 2012
L•••••• J•••• R•••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	C	yes	02/2003	Mar 30, 2012	Jun 27, 2012

Relationships

Controls (3)

← J•••••••• P•••• K••••OwnerVICE PRESIDENT, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← L•••••• J•••• R•••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← R•••••••• S••••••• A••OwnerSHAREHOLDER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (1)

← P••• K•••• J•••••••Advisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ebb9aad-11b4-f4a9-3f90-57c8b7a3a24a
First observed: Mar 30, 2012
Last observed: Jun 27, 2012 173 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.