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K••• B••• S•••••••• R••••• A•••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Newport Beach, California

Former SEC-registered adviser, based in Newport Beach, California, reporting $128,212 of regulatory assets.

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

Last reported RAUM
$128,212
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-22%
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 108568 · SEC 801-56610 · 27 filingsShow
CRD 108568SEC 801-56610First filing on the tape Mar 30, 2012, latest Mar 26, 2025SEC status approved since Jun 25, 1999IAPD
RAUM
$128,212
reported, Item 5.F
Discretionary
0.0%
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
79
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$128,212 as of Mar 26, 2025
Mar 30, 2012$8.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2025
Apr 1, 20130 then
Employees (5.A)79 as of Mar 26, 2025
Apr 1, 2013104 then
Private funds: no history
RAUM -22% over the last fiscal year-79% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2025; 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
$128,212derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%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
-22%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, performance-based, otherreportedItem 5.E
Advisory activities
pension consulting, otherreportedItem 5.G
Custody
$128,212, 1 clientsreportedItem 9.A
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 custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$128,212100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$128,212 for 1 clientsreported
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
      • S••••••••• J••• C••••••• J•• · Presidentcontrol
        since 09/2023 · owns 25% to 50%
      • B•••• R••••••• P•••• · Trustee Of The N•••••••• M•••••• Trust C•••••• U•••• The P•••• B••• 2017 Trust
        since 11/2020 · owns less than 5%
      • C•••••••• G••••••• · Regional President, Western U.S. Portfolio Operations
        since 01/2023 · owns less than 5%
      • D•••••• M••• · Chief Executive Officer And Regional President, Eastern Region
        since 01/2022 · owns less than 5%
      • K•••• K•••••••• R••••••• · Trustee
        since 01/2015 · owns less than 5%
      • M•••••• O•••••••• M••••• · Trustee
        since 01/2015 · owns less than 5%
      • S•••••• R•••••• L•••• · Trustee
        since 01/2015 · owns less than 5%
      • U•••••• R•••••• E•••••• · Chief Compliance Officer
        since 03/2014 · owns less than 5%
      • W••••••••• J••••••• K•••• · Chief Financial Officer, Secretary & Treasurer
        since 09/2023 · owns less than 5%
      • Z••••••• D••••• M•••••• · Executive Vice President, Human Resources
        since 01/2023 · owns less than 5%
      Entity owners
      • N•••••••• M•••••• T•••• C•••••• U•••• T•• P•••• M• B••• 2••• T•••• · Shareholder
        direct · owns 25% to 50%
      • K••••••• R• K•••• R••••• L• S•••••• A•• O••••••• M• M•••••• A• C••••••••• O• T•• K••• M•••••• D•••••••• T•••• · Shareholder
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list K••• B••• S•••••••• R••••• A•••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $164,076 to $128,212
        Apr 3, 2024 to Mar 26, 2025
      • Employees · 80 to 79
        Apr 3, 2024 to Mar 26, 2025
      • Financial planning clients · unset to
        Apr 3, 2024 to Mar 26, 2025
      • Non-discretionary RAUM · $164,076 to $128,212
        Apr 3, 2024 to Mar 26, 2025
      • RAUM · $164,076 to $128,212
        Apr 3, 2024 to Mar 26, 2025
      • BD registered reps · 2 to 3
        Apr 10, 2023 to Mar 29, 2024
      • Assets in custody · $241,330 to $164,076
        Apr 10, 2023 to Mar 29, 2024
      • Employees · 81 to 80
        Apr 10, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · $241,330 to $164,076
        Apr 10, 2023 to Mar 29, 2024
      • RAUM · $241,330 to $164,076
        Apr 10, 2023 to Mar 29, 2024
      • BD registered reps · 0 to 2
        Mar 31, 2022 to Mar 30, 2023
      • Assets in custody · $13.8M to $241,330
        Mar 31, 2022 to Mar 30, 2023
      • Employees · 113 to 81
        Mar 31, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $13.8M to $241,330
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $13.8M to $241,330
        Mar 31, 2022 to Mar 30, 2023
      • Accounts · 2 to 1
        May 6, 2021 to Mar 31, 2022
      • Assets in custody · $23.1M to $13.8M
        May 6, 2021 to Mar 31, 2022
      • Employees · 103 to 113
        May 6, 2021 to Mar 31, 2022
      • Discretionary RAUM · $4.9M to $0
        May 6, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $18.1M to $13.8M
        May 6, 2021 to Mar 31, 2022
      • RAUM · $23.1M to $13.8M
        May 6, 2021 to Mar 31, 2022
      • Accounts · 1 to 2
        Nov 16, 2020 to Mar 31, 2021
      • Assets in custody · $21.2M to $23.1M
        Nov 16, 2020 to Mar 31, 2021
      • Employees · 105 to 103
        Nov 16, 2020 to Mar 31, 2021
      • Discretionary RAUM · $0 to $4.9M
        Nov 16, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $21.2M to $18.1M
        Nov 16, 2020 to Mar 31, 2021
      • RAUM · $21.2M to $23.1M
        Nov 16, 2020 to Mar 31, 2021
      • Accounts · unset to 1.0
        Jun 19, 2019 to Mar 30, 2020
      • Advisory employees · 0 to 3
        Jun 19, 2019 to Mar 30, 2020
      • Pension plan clients · 1.0 to unset
        Jun 19, 2019 to Mar 30, 2020
      • Assets in custody · $589,682 to $21.2M
        Jun 19, 2019 to Mar 30, 2020
      • Employees · 77 to 105
        Jun 19, 2019 to Mar 30, 2020
      • Discretionary RAUM · unset to 0.0
        Jun 19, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · unset to 21222535.0
        Jun 19, 2019 to Mar 30, 2020
      • RAUM · unset to 21222535.0
        Jun 19, 2019 to Mar 30, 2020
      • Assets in custody · $315,666 to $589,682
        Mar 29, 2018 to Mar 28, 2019
      • Pension plan clients · unset to 1.0
        Mar 29, 2017 to Mar 29, 2018
      • Assets in custody · $2.8M to $315,666
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 110 to 77
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      Signals
      6 dated events
      • ••• Locked
        Jan 2, 2026 · Left the SEC roster · derived
      • ••• Locked
        Mar 31, 2022 · Control person left · inference
      • ••• Locked
        Mar 31, 2022 · Control person joined · fact
      • ••• Locked
        Mar 31, 2022 · Control person joined · fact
      • ••• Locked
        Mar 31, 2021 · Control person joined · fact
      • ••• Locked
        Jun 19, 2019 · 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