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E•• F•••••••• R•••••••• M••••••••• I•••

Independent wealth managerSEC-registered· Exton, Pennsylvania

Independent wealth manager, based in Exton, Pennsylvania, reporting $164M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$164M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
+7.9%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $164M
Form ADV
Advisors (1)Advisor 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 116186 · SEC 801-123260 · 12 filingsShow
CRD 116186SEC 801-123260First filing on the tape Mar 17, 2012, latest Feb 6, 2026SEC status approved since Feb 23, 2022IAPD
RAUM
$164M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$164M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$164M as of Feb 6, 2026
Mar 17, 2012$48.2M then
HNW client RAUM$125M as of Feb 6, 2026
Feb 25, 2023$74.4M then
State-registered IARs (5.B.3)1 as of Feb 6, 2026
Mar 17, 20120 then
Employees (5.A)2 as of Feb 6, 2026
Feb 25, 20232 then
Private funds: no history
RAUM +7.9% over the last fiscal year+9.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$164MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
90derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+13%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 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)
  • 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$125M76%
  • Individuals$39.0M24%
Individual clients
55reported
HNW clients
35reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
90reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K••• M• E••••Certified Financial Planner, Chartered Financial AnalystExton, PaApr 15, 199140 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• K•••• M• · President, Chief Compliance Officercontrol
        since 08/1985 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Feb 6, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (5682 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: independent wealth managers, $100M to $500M (5,682) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 80 to 90
        Feb 5, 2025 to Jan 28, 2026
      • HNW clients · 20 to 35
        Feb 5, 2025 to Jan 28, 2026
      • Individual clients · 60 to 55
        Feb 5, 2025 to Jan 28, 2026
      • HNW RAUM · $96.0M to $125M
        Feb 5, 2025 to Jan 28, 2026
      • Individual RAUM · $56.0M to $39.0M
        Feb 5, 2025 to Jan 28, 2026
      • Non-discretionary RAUM · $152M to $164M
        Feb 5, 2025 to Jan 28, 2026
      • RAUM · $152M to $164M
        Feb 5, 2025 to Jan 28, 2026
      • Accounts · 300 to 80
        Jan 23, 2024 to Feb 5, 2025
      • Charity clients · 0.0 to unset
        Jan 23, 2024 to Feb 5, 2025
      • Corporate clients · 0.0 to unset
        Jan 23, 2024 to Feb 5, 2025
      • HNW clients · 35 to 20
        Jan 23, 2024 to Feb 5, 2025
      • Individual clients · 50 to 60
        Jan 23, 2024 to Feb 5, 2025
      • Pension plan clients · 0.0 to unset
        Jan 23, 2024 to Feb 5, 2025
      • Pooled vehicle clients · 0.0 to unset
        Jan 23, 2024 to Feb 5, 2025
      • Financial planning clients · 51-100 to 51-100
        Jan 23, 2024 to Feb 5, 2025
      • HNW RAUM · $84.6M to $96.0M
        Jan 23, 2024 to Feb 5, 2025
      • Individual RAUM · $50.0M to $56.0M
        Jan 23, 2024 to Feb 5, 2025
      • Non-discretionary RAUM · $135M to $152M
        Jan 23, 2024 to Feb 5, 2025
      • RAUM · $135M to $152M
        Jan 23, 2024 to Feb 5, 2025
      • HNW RAUM · $74.4M to $84.6M
        Feb 25, 2023 to Jan 23, 2024
      • Non-discretionary RAUM · $124M to $135M
        Feb 25, 2023 to Jan 23, 2024
      • RAUM · $124M to $135M
        Feb 25, 2023 to Jan 23, 2024
      • Accounts · 85 to 300
        Feb 2, 2022 to Feb 25, 2023
      • HNW RAUM · $89.7M to $74.4M
        Feb 2, 2022 to Feb 25, 2023
      • Individual RAUM · $40.0M to $50.0M
        Feb 2, 2022 to Feb 25, 2023
      • Non-discretionary RAUM · $130M to $124M
        Feb 2, 2022 to Feb 25, 2023
      • RAUM · $130M to $124M
        Feb 2, 2022 to Feb 25, 2023
      • Accounts · 95 to 85
        Jun 29, 2012 to Jan 19, 2022
      • Advisory employees · unset to 1.0
        Jun 29, 2012 to Jan 19, 2022
      • Advisory activities · 4 to 3
        Jun 29, 2012 to Jan 19, 2022
      • Charity clients · unset to 0.0
        Jun 29, 2012 to Jan 19, 2022
      • Corporate clients · unset to 0.0
        Jun 29, 2012 to Jan 19, 2022
      • HNW clients · unset to 35.0
        Jun 29, 2012 to Jan 19, 2022
      • Individual clients · unset to 50.0
        Jun 29, 2012 to Jan 19, 2022
      • Pension plan clients · unset to 0.0
        Jun 29, 2012 to Jan 19, 2022
      • Pooled vehicle clients · unset to 0.0
        Jun 29, 2012 to Jan 19, 2022
      • Employees · unset to 2.0
        Jun 29, 2012 to Jan 19, 2022
      • State-registered IARs · 0 to 1
        Jun 29, 2012 to Jan 19, 2022
      • Other offices · unset to 0.0
        Jun 29, 2012 to Jan 19, 2022
      • HNW RAUM · unset to 89700000.0
        Jun 29, 2012 to Jan 19, 2022
      Signals
      1 dated events
      • ••• Locked
        Jan 19, 2022 · 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Feb 6, 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
      $164Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026