DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
P•••• K••••• L••
Latest filing Feb 9, 2026
First filing on the tape Mar 7, 2012 · 18 filings
SEC status approved since Sep 26, 2000
RAUM
$347M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
89%
$309M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$173M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$347M as of Feb 9, 2026
Mar 7, 2012$96.1M then
HNW client RAUM$26.9M as of Feb 9, 2026
Mar 14, 2018$149M then
State-registered IARs (5.B.3)0 as of Feb 9, 2026
Mar 7, 20120 then
Employees (5.A)2 as of Feb 9, 2026
Mar 21, 20131 then
Private funds: no history
RAUM +11% over the last fiscal year+7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $464,588derivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- Individuals$282M81%
- Charitable organizations$38.2M11%
- High-net-worth individuals$26.9M7.8%
- Individual clients
- 64reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 124reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• A•• K••••Chartered Financial Analyst | Omaha, Ne | Jan 1, 2026 | 26 y | 0 |
| T••••• F•••••••• P••••Chartered Financial Analyst | Omaha, Ne | Jan 1, 2026 | 35 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• T•••••• F•••••••• · Member Manager & Chief Compliance Officercontrolsince 09/2000 · owns 50% to 75%
- K••••• M••••• M• · Member/Investment Research Analystsince 01/2022 · owns 5% to 10%
- S•••••••• K••••• M•••• · Member/Operations Managersince 01/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Omaha, Ne · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 9, 2026HNW share of RAUM moved from 80.0% to 8.0% between the annual amendments of 2025-01-27 and 2026-02-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 119 to 124Jan 27, 2025 to Feb 9, 2026
- HNW clients · 57 to 58Jan 27, 2025 to Feb 9, 2026
- Individual clients · 60 to 64Jan 27, 2025 to Feb 9, 2026
- Financial planning clients · 101-250 to Jan 27, 2025 to Feb 9, 2026
- Discretionary RAUM · $290M to $325MJan 27, 2025 to Feb 9, 2026
- HNW RAUM · $250M to $26.9MJan 27, 2025 to Feb 9, 2026
- Individual RAUM · $28.5M to $282MJan 27, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $23.0M to $22.4MJan 27, 2025 to Feb 9, 2026
- RAUM · $313M to $347MJan 27, 2025 to Feb 9, 2026
- Accounts · 123 to 119May 28, 2024 to Jan 27, 2025
- HNW clients · 52 to 57May 28, 2024 to Jan 27, 2025
- Individual clients · 68 to 60May 28, 2024 to Jan 27, 2025
- Financial planning clients · 101-250 to 101-250May 28, 2024 to Jan 27, 2025
- Discretionary RAUM · $274M to $290MMay 28, 2024 to Jan 27, 2025
- HNW RAUM · $231M to $250MMay 28, 2024 to Jan 27, 2025
- Individual RAUM · $32.0M to $28.5MMay 28, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $20.7M to $23.0MMay 28, 2024 to Jan 27, 2025
- RAUM · $295M to $313MMay 28, 2024 to Jan 27, 2025
- Accounts · 122 to 123Feb 12, 2024 to May 28, 2024
- Discretionary RAUM · $271M to $274MFeb 12, 2024 to May 28, 2024
- Non-discretionary RAUM · $23.9M to $20.7MFeb 12, 2024 to May 28, 2024
- Accounts · 124 to 122Mar 13, 2023 to Feb 12, 2024
- HNW clients · 42 to 52Mar 13, 2023 to Feb 12, 2024
- Individual clients · 80 to 68Mar 13, 2023 to Feb 12, 2024
- Employees · 3 to 2Mar 13, 2023 to Feb 12, 2024
- Discretionary RAUM · $256M to $271MMar 13, 2023 to Feb 12, 2024
- HNW RAUM · $212M to $231MMar 13, 2023 to Feb 12, 2024
- Individual RAUM · $38.6M to $32.0MMar 13, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $22.6M to $23.9MMar 13, 2023 to Feb 12, 2024
- RAUM · $279M to $295MMar 13, 2023 to Feb 12, 2024
- Accounts · 130 to 124Feb 15, 2022 to Mar 13, 2023
- HNW clients · 51 to 42Feb 15, 2022 to Mar 13, 2023
- Individual clients · 77 to 80Feb 15, 2022 to Mar 13, 2023
- Financial planning clients · unset to 101-250Feb 15, 2022 to Mar 13, 2023
- Discretionary RAUM · $258M to $256MFeb 15, 2022 to Mar 13, 2023
- HNW RAUM · $219M to $212MFeb 15, 2022 to Mar 13, 2023
- Individual RAUM · $32.8M to $38.6MFeb 15, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $25.7M to $22.6MFeb 15, 2022 to Mar 13, 2023
- RAUM · $283M to $279MFeb 15, 2022 to Mar 13, 2023
- Accounts · 124 to 130Mar 4, 2021 to Feb 15, 2022
Signals
1 dated events
- Ann Marcia K•••• (Member/Senior Portfolio Manager) no longer on Schedule A of P•••• K••••• L•• (listed 2023-03-13, absent 2024-02-12)Feb 12, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 402-691-0251reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-691-0988reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-691-0988reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- pkllc.com/contact.htmlreportedpublished by the firm, firm site, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $173Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026