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S••••• P•••••• I••••••••• I•••

Former SEC-registered adviserFormer SEC adviser5 private funds· S•••••, New Jerseywebsite

Former SEC-registered adviser, based in S•••••, New Jersey, reporting $234M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$234M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-26%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 105373 · SEC 801-31837 · 13 filingsShow
CRD 105373SEC 801-31837First filing on the tape Mar 5, 2012, latest Jul 11, 2016IAPD
RAUM
$234M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$209M gross assets
History
13 filings and snapshots on the tape
RAUM$234M as of Mar 9, 2016
Mar 5, 2012$264M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 9, 2016
Mar 22, 20130 then
Employees (5.A)7 as of Mar 9, 2016
Mar 22, 20139 then
Private funds5 as of Mar 9, 2016
Mar 5, 20128 then
RAUM -26% over the last fiscal year-1.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 11, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$26.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-26%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• P•••••• I••••••••• I•• L•••Hedge Fund$71.4M30Mar 5, 2012
      S••••• P•••••• I••••••••• I• L•••Hedge Fund$32.5M22Mar 5, 2012
      S•• M•• • E••••• F•••• L•Hedge Fund$18.2M14Mar 19, 2015
      S•• C•••••• P••••••••• L•••Hedge Fund$13.3M13Mar 5, 2012
      S••••• P•••••• I••••••••• O••••••• L•••Hedge Fund$8.3M1Mar 5, 2012
      S••••• P•••••• I••••••••• P•••• L•••Hedge Fund$8.0M11Mar 5, 2012
      S•• D••••••••• L•••Hedge Fund$5.4M10Mar 5, 2012
      S•• I••••••••• L•••Hedge Fund$4.6M5Mar 5, 2012
      S•• H••••• L•••Hedge Fund$3.3M13Mar 5, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••• J••••••• M••••• · Presidentcontrol
        since 01/2008 · owns 50% to 75%
      • K•••• R•••••• A•••• · Chairmancontrol
        since 01/2008 · owns less than 5%
      • K•••• S••••• · Ownercontrol
        since 01/2005 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • K••• A••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 9
        Sep 3, 2015 to Mar 9, 2016
      • Advisory employees · 4 to 3
        Sep 3, 2015 to Mar 9, 2016
      • Employees · 8 to 7
        Sep 3, 2015 to Mar 9, 2016
      • Private funds · 9 to 5
        Sep 3, 2015 to Mar 9, 2016
      • Discretionary RAUM · $317M to $234M
        Sep 3, 2015 to Mar 9, 2016
      • RAUM · $317M to $234M
        Sep 3, 2015 to Mar 9, 2016
      • Accounts · 19 to 18
        Mar 25, 2014 to Mar 19, 2015
      • Private funds · 8 to 9
        Mar 25, 2014 to Mar 19, 2015
      • Discretionary RAUM · $329M to $317M
        Mar 25, 2014 to Mar 19, 2015
      • RAUM · $329M to $317M
        Mar 25, 2014 to Mar 19, 2015
      • Related bank · false to true
        Mar 25, 2014 to Mar 19, 2015
      • Accounts · 33 to 19
        Nov 13, 2013 to Mar 25, 2014
      • Advisory employees · 5 to 4
        Nov 13, 2013 to Mar 25, 2014
      • Employees · 9 to 8
        Nov 13, 2013 to Mar 25, 2014
      • Discretionary RAUM · $352M to $329M
        Nov 13, 2013 to Mar 25, 2014
      • RAUM · $352M to $329M
        Nov 13, 2013 to Mar 25, 2014
      • Discretionary RAUM · $245M to $352M
        Mar 22, 2013 to Apr 30, 2013
      • RAUM · $245M to $352M
        Mar 22, 2013 to Apr 30, 2013
      • Accounts · 36 to 33
        Mar 6, 2012 to Mar 22, 2013
      • Advisory employees · unset to 5.0
        Mar 6, 2012 to Mar 22, 2013
      • Employees · unset to 9.0
        Mar 6, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 0.0
        Mar 6, 2012 to Mar 22, 2013
      • Discretionary RAUM · $264M to $245M
        Mar 6, 2012 to Mar 22, 2013
      • RAUM · $264M to $245M
        Mar 6, 2012 to Mar 22, 2013
      Signals
      3 dated events
      • ••• Locked
        Mar 16, 2026 · ria principal change · derived
      • ••• Locked
        Mar 16, 2026 · Control person left · inference
      • ••• Locked
        Aug 26, 2016 · ria registration change · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
      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