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Former SEC-registered adviser

F•••••••• P••••••• S•••••••• I•••

Former SEC-registered adviserRaleigh, North CarolinaCRD 108025SEC 801-112781IAPD
Legal name F•••••••• P••••••• S•••••••• I••
Latest filing May 27, 2020
First filing on the tape Jan 23, 2012 · 8 filings
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$141M as of Mar 18, 2020
Jan 23, 2012$67.5M then
HNW client RAUM$92.8M as of Mar 18, 2020
Mar 1, 2019$88.4M then
State-registered IARs (5.B.3)1 as of Mar 18, 2020
Jan 23, 20120 then
Employees (5.A)1 as of Mar 18, 2020
Mar 1, 20191 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 27, 2020; every figure names its basis
RAUM per advisor
$141MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
115derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$510,663derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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)
  • 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
  • High-net-worth individuals$92.8M66%
  • Individuals$48.6M34%
Individual clients
64reported
HNW clients
51reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
277reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      • N••••••••• H••••• K•• · President/Chief Compliance Officercontrol
        since 11/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 112 to 277
        May 10, 2019 to Mar 18, 2020
      • HNW clients · 61 to 51
        May 10, 2019 to Mar 18, 2020
      • Individual clients · 51 to 64
        May 10, 2019 to Mar 18, 2020
      • Financial planning clients · 1-10 to 11-25
        May 10, 2019 to Mar 18, 2020
      • Discretionary RAUM · $113M to $141M
        May 10, 2019 to Mar 18, 2020
      • HNW RAUM · $88.4M to $92.8M
        May 10, 2019 to Mar 18, 2020
      • Individual RAUM · $24.5M to $48.6M
        May 10, 2019 to Mar 18, 2020
      • RAUM · $113M to $141M
        May 10, 2019 to Mar 18, 2020
      • Accounts · 392 to 112
        Mar 6, 2018 to Mar 1, 2019
      • HNW clients · 41 to 61
        Mar 6, 2018 to Mar 1, 2019
      • Individual clients · 56 to 51
        Mar 6, 2018 to Mar 1, 2019
      • Assets in custody · 101786191.0 to unset
        Mar 6, 2018 to Mar 1, 2019
      • Custody of client assets · true to false
        Mar 6, 2018 to Mar 1, 2019
      • Financial planning clients · 0 to 1-10
        Mar 6, 2018 to Mar 1, 2019
      • Discretionary RAUM · $122M to $113M
        Mar 6, 2018 to Mar 1, 2019
      • HNW RAUM · $78.3M to $88.4M
        Mar 6, 2018 to Mar 1, 2019
      • Individual RAUM · $43.3M to $24.5M
        Mar 6, 2018 to Mar 1, 2019
      • RAUM · $122M to $113M
        Mar 6, 2018 to Mar 1, 2019
      • Accounts · 315 to 392
        Apr 9, 2012 to Mar 6, 2018
      • Advisory employees · unset to 1.0
        Apr 9, 2012 to Mar 6, 2018
      • Advisory activities · 3 to 2
        Apr 9, 2012 to Mar 6, 2018
      • HNW clients · unset to 41.0
        Apr 9, 2012 to Mar 6, 2018
      • Individual clients · unset to 56.0
        Apr 9, 2012 to Mar 6, 2018
      • Assets in custody · unset to 101786191.0
        Apr 9, 2012 to Mar 6, 2018
      • Custody of client assets · false to true
        Apr 9, 2012 to Mar 6, 2018
      • Employees · unset to 1.0
        Apr 9, 2012 to Mar 6, 2018
      • Financial planning clients · 101-250 to 0
        Apr 9, 2012 to Mar 6, 2018
      • State-registered IARs · 0 to 1
        Apr 9, 2012 to Mar 6, 2018
      • Other offices · unset to 1.0
        Apr 9, 2012 to Mar 6, 2018
      • Discretionary RAUM · $67.5M to $122M
        Apr 9, 2012 to Mar 6, 2018
      • HNW RAUM · unset to 78320111.0
        Apr 9, 2012 to Mar 6, 2018
      • Individual RAUM · unset to 43263182.0
        Apr 9, 2012 to Mar 6, 2018
      • RAUM · $67.5M to $122M
        Apr 9, 2012 to Mar 6, 2018
      Signals
      1 dated events
      • F•••••••• P••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
        Mar 6, 2018 · First SEC registration · fact
      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