DFX Intelligence

W••• P••• 4• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

W••• P••• 4• L••

CRD 326789

NEW YORK, NY

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Search this name across graphsid dfx:ria:f185aa8e-f5c9-6581-ed4e-ad0d999b05e1

Data as of Sep 15, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: May 2, 2023 to Sep 15, 2023
9 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: $13.8M••• Locked
Discretionary RAUM: $0
Private client RAUM: $13.0Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $13.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• P•••••••••	n/a	W••• PALM BEACH, FL	3	14	2	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••••• K••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	04/2023	May 2, 2023	Sep 15, 2023

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

Relationships

Controls (1)

← P••••••••• K••••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
May 2, 2023 to presentfactForm ADV

Registered with (1)

← K•••• P•••••••••Advisorregistration: current employment
Jun 6, 2023 to presentfactForm ADV

Dated events

Occurred
May 2, 2023
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f185aa8e-f5c9-6581-ed4e-ad0d999b05e1
First observed: May 2, 2023
Last observed: Sep 15, 2023 36 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.