DFX Intelligence

G• • O• F•••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

G• • O• F•••••••• S•••••••• I•••

CRD 141831

ST. PETERSBURG, FL

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Data as of May 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Mar 31, 2015 to May 1, 2023
15 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 2
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• P•••••• M•••••••••	Chartered Financial Analyst	BEVERLY, MA \| Tampa, FL \| St. Petersburg, FL \| ST. PETERSBURG, FL	12	14	2	no
C•••••• C••••• K••••	Personal Financial Specialist	ST. PETERSBURG, FL	1	37

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••• C••••••• C•••••	PRESIDENT/CHIEF COMPLIANCE OFFICER/DIRECTOR	B	yes	01/1999	Mar 31, 2015	May 1, 2023
M••••••••• K••••• P••••••	CHIEF INVESTMENT OFFICER	B	yes	07/2013	Mar 17, 2016	May 1, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••• • O••••• P•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	n/a	$177M	n/a	$149M	n/a	2	3	0	0

Relationships

Registered with (2)

← C•••••• C••••• K••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← K•••• P•••••• M•••••••••Advisorregistration: current employment
Oct 7, 2013 to presentfactForm ADV

Controls (2)

← K••••• C••••••• C•••••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER/DIRECTOR, ownership code B, individual
Mar 31, 2015 to presentfactForm ADV
← M••••••••• K••••• P••••••

Dated events

Order

Occurred
25 Mar 2019
Regulatory AUM changed
••• Locked
Form ADV
down $121M
Occurred
31 Mar 2015
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 31, 2015
Last observed: May 1, 2023 41 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.