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K• A••••••• S•••••••

Former SEC-registered adviserFormer SEC adviser· Victor, New York

Former SEC-registered adviser, based in Victor, New York, reporting $172M of regulatory assets.

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

Last reported RAUM
$172M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+2.7%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $172M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 21 Form ADV filings for this adviser, the latest 5.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 107524 · SEC 801-52224 · 21 filingsShow
CRD 107524SEC 801-52224Legal name H••••••• J•••• P•••First filing on the tape Mar 26, 2012, latest Mar 22, 2021IAPD
RAUM
$172M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$172M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$172M as of Mar 22, 2021
Mar 26, 2012$59.6M then
HNW client RAUM$127M as of Mar 22, 2021
Mar 23, 2018$80.1M then
State-registered IARs (5.B.3)1 as of Mar 22, 2021
Mar 26, 20120 then
Employees (5.A)4 as of Mar 22, 2021
Mar 25, 20132 then
Private funds: no history
RAUM +2.7% over the last fiscal year+8.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 22, 2021; every figure names its basis
RAUM per advisor
$172MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
177derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$84,202derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-18%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$127M74%
  • Individuals$44.9M26%
Individual clients
124reported
HNW clients
53reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,045reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
      • H••••••• J•••• P••• · Owner And Chief Compliance Officercontrol
        since 03/2020 · owns 75% or more
      • H••••••• J•••• P••• · Owner And Chief Compliance Officercontrol
        since 03/2020 · owns 75% or more of H••••••• J•••• P•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2,421 to 2,045
        Dec 11, 2020 to Mar 22, 2021
      • Advisory activities · 2 to 3
        Dec 11, 2020 to Mar 22, 2021
      • HNW clients · 49 to 53
        Dec 11, 2020 to Mar 22, 2021
      • Individual clients · 167 to 124
        Dec 11, 2020 to Mar 22, 2021
      • Employees · 1 to 4
        Dec 11, 2020 to Mar 22, 2021
      • Discretionary RAUM · $168M to $172M
        Dec 11, 2020 to Mar 22, 2021
      • HNW RAUM · $106M to $127M
        Dec 11, 2020 to Mar 22, 2021
      • Individual RAUM · $61.4M to $44.9M
        Dec 11, 2020 to Mar 22, 2021
      • RAUM · $168M to $172M
        Dec 11, 2020 to Mar 22, 2021
      • Insurance-licensed employees · 0 to 1
        Jul 8, 2020 to Nov 3, 2020
      • Related adviser · false to true
        Jul 8, 2020 to Nov 3, 2020
      • Legal name · M••••••• K•••••• J••• to H••••••• J•••• P•••
        Apr 17, 2020 to Jun 29, 2020
      • Accounts · 2,531 to 2,421
        Jan 3, 2020 to Mar 26, 2020
      • Advisory employees · 2 to 1
        Jan 3, 2020 to Mar 26, 2020
      • BD registered reps · 2 to 1
        Jan 3, 2020 to Mar 26, 2020
      • HNW clients · 45 to 49
        Jan 3, 2020 to Mar 26, 2020
      • Employees · 2 to 1
        Jan 3, 2020 to Mar 26, 2020
      • Discretionary RAUM · $129M to $168M
        Jan 3, 2020 to Mar 26, 2020
      • HNW RAUM · $77.8M to $106M
        Jan 3, 2020 to Mar 26, 2020
      • Individual RAUM · $51.1M to $61.4M
        Jan 3, 2020 to Mar 26, 2020
      • RAUM · $129M to $168M
        Jan 3, 2020 to Mar 26, 2020
      • Accounts · 2,681 to 2,531
        Mar 28, 2018 to Mar 25, 2019
      • HNW clients · 41 to 45
        Mar 28, 2018 to Mar 25, 2019
      • Individual clients · 164 to 167
        Mar 28, 2018 to Mar 25, 2019
      • Discretionary RAUM · $134M to $129M
        Mar 28, 2018 to Mar 25, 2019
      • HNW RAUM · $80.1M to $77.8M
        Mar 28, 2018 to Mar 25, 2019
      • Individual RAUM · $53.7M to $51.1M
        Mar 28, 2018 to Mar 25, 2019
      • RAUM · $134M to $129M
        Mar 28, 2018 to Mar 25, 2019
      • Accounts · 2,607 to 2,681
        Apr 6, 2017 to Mar 23, 2018
      • HNW clients · unset to 41.0
        Apr 6, 2017 to Mar 23, 2018
      • Individual clients · unset to 164.0
        Apr 6, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Apr 6, 2017 to Mar 23, 2018
      • Discretionary RAUM · $115M to $134M
        Apr 6, 2017 to Mar 23, 2018
      • HNW RAUM · unset to 80070926.0
        Apr 6, 2017 to Mar 23, 2018
      • Individual RAUM · unset to 53698910.0
        Apr 6, 2017 to Mar 23, 2018
      • RAUM · $115M to $134M
        Apr 6, 2017 to Mar 23, 2018
      • Accounts · 2,425 to 2,607
        Mar 24, 2016 to Mar 31, 2017
      • Discretionary RAUM · $107M to $115M
        Mar 24, 2016 to Mar 31, 2017
      • RAUM · $107M to $115M
        Mar 24, 2016 to Mar 31, 2017
      • Accounts · 2,267 to 2,425
        Mar 27, 2015 to Mar 24, 2016
      Signals
      1 dated events
      • ••• Locked
        Mar 26, 2020 · Control person left · inference
      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