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B•••••••• A•••••••• I•••

Independent wealth managerSEC-registered· Wyomissing, Pennsylvaniawebsite

Independent wealth manager, based in Wyomissing, Pennsylvania, reporting $97.1M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$97.1M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
-9.0%
Form ADV, consecutive annual filings
Private clients
96% of RAUM, $93.5M
Form ADV
Advisors (2)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 122389 · SEC 801-126064 · 11 filingsShow
CRD 122389SEC 801-126064First filing on the tape Mar 26, 2012, latest Mar 31, 2026SEC status approved since Nov 15, 2022IAPD
RAUM
$97.1M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$93.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$48.5M
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
11 filings and snapshots on the tape
RAUM$97.1M as of Mar 31, 2026
Mar 26, 2012$14.7M then
HNW client RAUM$37.3M as of Mar 31, 2026
Mar 27, 2024$51.7M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 31, 20232 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20232 then
Private funds: no history
RAUM -9.0% over the last fiscal year-2.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • 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
$48.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
125derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$407,790derivedRAUM over accounts (5.F.2.f)
Discretionary
96%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.8%derived
Compensation
percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
  • is a broker-dealer (6.A.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$56.2M60%
  • High-net-worth individuals$37.3M40%
Individual clients
235reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
238reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•• R••••• K•••••••Wyomissing, PaJun 11, 200841 y0
J•• R••••• K•••••••Wyomissing, PaMay 5, 202510 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
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
    • K•••••••• J••• R••••• · President & Ceo,Chief Compliance Officercontrol
      since 07/2002 · owns 75% or more
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Wyomissing, Pa · principal200
    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 Mar 31, 2026
      HNW share of RAUM moved from 56.0% to 38.0% between the annual amendments of 2025-01-31 and 2026-03-31
      peers: independent wealth managers, under $100M (706)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 263 to 238
      Jan 31, 2025 to Mar 31, 2026
    • Advisory employees · 1 to 2
      Jan 31, 2025 to Mar 31, 2026
    • HNW clients · 17 to 15
      Jan 31, 2025 to Mar 31, 2026
    • Individual clients · 243 to 235
      Jan 31, 2025 to Mar 31, 2026
    • Employees · 1 to 2
      Jan 31, 2025 to Mar 31, 2026
    • Discretionary RAUM · $107M to $93.5M
      Jan 31, 2025 to Mar 31, 2026
    • HNW RAUM · $59.9M to $37.3M
      Jan 31, 2025 to Mar 31, 2026
    • Individual RAUM · $43.2M to $56.2M
      Jan 31, 2025 to Mar 31, 2026
    • Non-discretionary RAUM · $0 to $3.6M
      Jan 31, 2025 to Mar 31, 2026
    • RAUM · $107M to $97.1M
      Jan 31, 2025 to Mar 31, 2026
    • Accounts · 160 to 263
      Mar 27, 2024 to Jan 31, 2025
    • Advisory employees · 2 to 1
      Mar 27, 2024 to Jan 31, 2025
    • HNW clients · 16 to 17
      Mar 27, 2024 to Jan 31, 2025
    • Individual clients · 142 to 243
      Mar 27, 2024 to Jan 31, 2025
    • Employees · 2 to 1
      Mar 27, 2024 to Jan 31, 2025
    • Financial planning clients · 1-10 to 1-10
      Mar 27, 2024 to Jan 31, 2025
    • State-registered IARs · 2 to 1
      Mar 27, 2024 to Jan 31, 2025
    • Discretionary RAUM · $89.9M to $107M
      Mar 27, 2024 to Jan 31, 2025
    • HNW RAUM · $51.7M to $59.9M
      Mar 27, 2024 to Jan 31, 2025
    • Individual RAUM · $38.2M to $43.2M
      Mar 27, 2024 to Jan 31, 2025
    • Non-discretionary RAUM · $6.8M to $0
      Mar 27, 2024 to Jan 31, 2025
    • RAUM · $96.6M to $107M
      Mar 27, 2024 to Jan 31, 2025
    • Accounts · 150 to 160
      Nov 10, 2023 to Mar 27, 2024
    • HNW clients · unset to 16.0
      Nov 10, 2023 to Mar 27, 2024
    • Individual clients · 148 to 142
      Nov 10, 2023 to Mar 27, 2024
    • Discretionary RAUM · $99.5M to $89.9M
      Nov 10, 2023 to Mar 27, 2024
    • HNW RAUM · unset to 51699758.0
      Nov 10, 2023 to Mar 27, 2024
    • Individual RAUM · $99.5M to $38.2M
      Nov 10, 2023 to Mar 27, 2024
    • Non-discretionary RAUM · $4.7M to $6.8M
      Nov 10, 2023 to Mar 27, 2024
    • RAUM · $104M to $96.6M
      Nov 10, 2023 to Mar 27, 2024
    • Accounts · 219 to 150
      Nov 11, 2022 to Mar 31, 2023
    • HNW clients · 18.0 to unset
      Nov 11, 2022 to Mar 31, 2023
    • Individual clients · 130 to 148
      Nov 11, 2022 to Mar 31, 2023
    • Discretionary RAUM · $104M to $99.5M
      Nov 11, 2022 to Mar 31, 2023
    • HNW RAUM · 73166000.0 to unset
      Nov 11, 2022 to Mar 31, 2023
    • Individual RAUM · $26.0M to $99.5M
      Nov 11, 2022 to Mar 31, 2023
    • Non-discretionary RAUM · $0 to $4.7M
      Nov 11, 2022 to Mar 31, 2023
    • RAUM · $104M to $104M
      Nov 11, 2022 to Mar 31, 2023
    • Accounts · 61 to 219
      Jul 26, 2012 to Jun 10, 2022
    • Advisory employees · unset to 2.0
      Jul 26, 2012 to Jun 10, 2022
    Signals
    2 dated events
    • ••• Locked
      Jun 10, 2022 · Control person left · inference
    • ••• Locked
      Jun 10, 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
    Website
    ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
    Contact form
    ••• Lockedreportedpublished 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
    $48.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026