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Former SEC-registered adviser

K••••• I••••••••• I••

Former SEC-registered adviserWilmington, DelawareCRD 105311SEC 801-16947IAPD
Latest filing Mar 28, 2017
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$453M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$453M as of Mar 28, 2017
Mar 28, 2012$838M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2017
Mar 28, 20120 then
Employees (5.A)24 as of Mar 28, 2017
Mar 27, 201323 then
Private funds: no history
RAUM -29% over the last fiscal year-29% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2017; every figure names its basis
RAUM per advisor
$453MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$4.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
24.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-29%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
102reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• S••••••• J•••• · Portfolio Manager/Analyst, Direct Ownercontrol
      since 12/2012 · owns less than 5%
    • B•••••• M•••••• E••••• · Head Trader, Direct Ownercontrol
      since 12/2004 · owns less than 5%
    • D•••••• A••••• L••••• · Trader, Direct Ownercontrol
      since 01/2010 · owns less than 5%
    • D•••••• B••••• D•••••••• · Vice President, Directorcontrol
      since 03/1986 · owns less than 5%
    • D•••••• F•••• B••••• · President & Director, Direct Ownercontrol
      since 03/1986 · owns 75% or more
    • D•••••• I••• F•••• B••••• · Managing Director, Direct Ownercontrol
      since 03/2001 · owns less than 5%
    • F•••••• G••••••• X••••• · Portfolio Manager/Analyst, Direct Ownercontrol
      since 01/2011 · owns less than 5%
    • L•••••••• J•••••••• D••••• · Portfolio Manager/Analyst, Direct Ownercontrol
      since 12/2004 · owns less than 5%
    • M••••••••• M•••••••• L•••• · Director Of Operations, Direct Ownercontrol
      since 03/2001 · owns less than 5%
    • P•••••••• K•••••••• R• · Chief Compliance Officercontrol
      since 07/2004 · owns less than 5%
    • R•••••••• C••••••• A•• · Treasurercontrol
      since 01/2014 · owns less than 5%
    • R•••••• N••••• M•••• · Client Services, Direct Ownercontrol
      since 03/2001 · owns less than 5%
    • S••••••• L••••••• S••••• · Portfolio Manager/Analyst, Direct Ownercontrol
      since 04/2008 · owns less than 5%
    • S••••••• J••••••• O•••• · Client Services, Direct Ownercontrol
      since 01/2003 · owns less than 5%
    • T•••••• S••••••• J••••• · Portfolio Manager/Analyst, Direct Ownercontrol
      since 03/2001 · owns less than 5%
    • T••••••• G••••••• S•••• · Portfolio Manager/Analyst, Direct Ownercontrol
      since 03/2001 · owns less than 5%
    • W•••••• D•••• F••• · Portfolio Manager/Analyst, Direct Ownercontrol
      since 03/2001 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Advisers that list K••••• I••••••••• I•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 145 to 102
      Mar 23, 2016 to Mar 28, 2017
    • Discretionary RAUM · $641M to $453M
      Mar 23, 2016 to Mar 28, 2017
    • RAUM · $641M to $453M
      Mar 23, 2016 to Mar 28, 2017
    • Accounts · 205 to 145
      Mar 27, 2015 to Mar 23, 2016
    • Discretionary RAUM · $1.0B to $641M
      Mar 27, 2015 to Mar 23, 2016
    • RAUM · $1.0B to $641M
      Mar 27, 2015 to Mar 23, 2016
    • Accounts · 280 to 205
      Apr 9, 2014 to Mar 27, 2015
    • Employees · 23 to 24
      Apr 9, 2014 to Mar 27, 2015
    • Discretionary RAUM · $1.3B to $1.0B
      Apr 9, 2014 to Mar 27, 2015
    • RAUM · $1.3B to $1.0B
      Apr 9, 2014 to Mar 27, 2015
    • Accounts · 289 to 280
      Mar 27, 2013 to Mar 31, 2014
    • Advisory employees · 9 to 10
      Mar 27, 2013 to Mar 31, 2014
    • Discretionary RAUM · $951M to $1.3B
      Mar 27, 2013 to Mar 31, 2014
    • RAUM · $951M to $1.3B
      Mar 27, 2013 to Mar 31, 2014
    • Accounts · 267 to 289
      Mar 28, 2012 to Mar 27, 2013
    • Advisory employees · unset to 9.0
      Mar 28, 2012 to Mar 27, 2013
    • Employees · unset to 23.0
      Mar 28, 2012 to Mar 27, 2013
    • State-registered IARs · 0 to 1
      Mar 28, 2012 to Mar 27, 2013
    • Discretionary RAUM · $838M to $951M
      Mar 28, 2012 to Mar 27, 2013
    • RAUM · $838M to $951M
      Mar 28, 2012 to Mar 27, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026