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Former SEC-registered adviser

K••••• I••••••••• A•••••••

Former SEC-registered adviserWilmington, DelawareCRD 106282SEC 801-53608IAPD
Latest filing Mar 28, 2017
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$1.5B
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$1.5B as of Mar 28, 2017
Mar 28, 2012$3.3B 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 -57% over the last fiscal year-32% 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
$1.5BderivedRAUM 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
$773MderivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-57%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
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)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• S••••••• J•••• · Portfolio Manager/Analyst, Directorcontrol
        since 12/2012 · owns less than 5%
      • B•••••• M•••••• E••••• · Head Trader, Direct Ownercontrol
        since 12/2004 · owns less than 5%
      • D•••••• A••••• L••••• · Direct Ownercontrol
        since 01/1997 · owns 5% to 10%
      • D•••••• B••••• D•••••••• · Vice President & Trusteecontrol
        since 11/1996 · owns less than 5%
      • D•••••• F•••• B••••• · President, Chairman, Trustee, Direct Ownercontrol
        since 11/1996 · owns 50% to 75%
      • D•••••• I••• F•••• B••••• · Managing Director, Direct Ownercontrol
        since 01/1997 · owns 5% to 10%
      • 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•••• · Secretary, Direct Owner, Trusteecontrol
        since 08/1997 · owns less than 5%
      • P•••••••• K•••••••• R• · Chief Compliance Officercontrol
        since 07/2004 · owns less than 5%
      • R•••••••• C••••••• A•• · Treasurer, Trusteecontrol
        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••••••••• A••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 2
        Mar 23, 2016 to Mar 28, 2017
      • Discretionary RAUM · $3.6B to $1.5B
        Mar 23, 2016 to Mar 28, 2017
      • RAUM · $3.6B to $1.5B
        Mar 23, 2016 to Mar 28, 2017
      • Discretionary RAUM · $4.5B to $3.6B
        Mar 27, 2015 to Mar 23, 2016
      • RAUM · $4.5B to $3.6B
        Mar 27, 2015 to Mar 23, 2016
      • Employees · 23 to 24
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $4.9B to $4.5B
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $4.9B to $4.5B
        Mar 31, 2014 to Mar 27, 2015
      • Advisory employees · 9 to 10
        Mar 27, 2013 to Mar 31, 2014
      • Discretionary RAUM · $3.5B to $4.9B
        Mar 27, 2013 to Mar 31, 2014
      • RAUM · $3.5B to $4.9B
        Mar 27, 2013 to Mar 31, 2014
      • Advisory employees · unset to 9.0
        Apr 17, 2012 to Mar 27, 2013
      • Employees · unset to 23.0
        Apr 17, 2012 to Mar 27, 2013
      • State-registered IARs · 0 to 1
        Apr 17, 2012 to Mar 27, 2013
      • Discretionary RAUM · $3.3B to $3.5B
        Apr 17, 2012 to Mar 27, 2013
      • RAUM · $3.3B to $3.5B
        Apr 17, 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