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R•• F•••••••• G••••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $59.2M of regulatory assets.

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

Last reported RAUM
$59.2M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+12%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $59.2M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 8 Form ADV filings for this adviser, the latest 8.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 125768 · SEC 801-63181 · 8 filingsShow
CRD 125768SEC 801-63181Legal name K•••••• R•••••• D••••First filing on the tape Mar 20, 2012, latest Feb 12, 2018IAPD
RAUM
$59.2M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$59.2M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$59.2M as of Feb 12, 2018
Mar 20, 2012$67.8M then
HNW client RAUM: $57.4M
State-registered IARs (5.B.3)0 as of Feb 12, 2018
Mar 20, 20120 then
Employees (5.A)1 as of Feb 12, 2018
Mar 20, 20131 then
Private funds: no history
RAUM +12% over the last fiscal year+3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 12, 2018; 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
$3.0MderivedHNW RAUM over HNW clients
Average account
$822,694derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%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
+12%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, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$57.4M97%
  • Individuals$1.8M3.1%
Individual clients
4reported
HNW clients
19reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
72reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • K•••••• R••••••• D•••• · Owner/Chief Compliance Officercontrol
        since 10/1995 · 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.
      What changed
      consecutive filings, newest first
      • HNW clients · unset to 19.0
        Mar 17, 2017 to Feb 12, 2018
      • Individual clients · unset to 4.0
        Mar 17, 2017 to Feb 12, 2018
      • Other offices · unset to 0.0
        Mar 17, 2017 to Feb 12, 2018
      • Discretionary RAUM · $51.0M to $57.5M
        Mar 17, 2017 to Feb 12, 2018
      • HNW RAUM · unset to 57393000.0
        Mar 17, 2017 to Feb 12, 2018
      • Individual RAUM · unset to 1841000.0
        Mar 17, 2017 to Feb 12, 2018
      • Non-discretionary RAUM · $1.7M to $1.8M
        Mar 17, 2017 to Feb 12, 2018
      • RAUM · $52.7M to $59.2M
        Mar 17, 2017 to Feb 12, 2018
      • Accounts · 73 to 72
        Jun 25, 2016 to Mar 17, 2017
      • Discretionary RAUM · $48.8M to $51.0M
        Jun 25, 2016 to Mar 17, 2017
      • Non-discretionary RAUM · $1.8M to $1.7M
        Jun 25, 2016 to Mar 17, 2017
      • RAUM · $50.5M to $52.7M
        Jun 25, 2016 to Mar 17, 2017
      • Accounts · 64 to 73
        Mar 6, 2015 to Mar 15, 2016
      • Financial planning clients · 26-50 to 11-25
        Mar 6, 2015 to Mar 15, 2016
      • Discretionary RAUM · $51.5M to $48.8M
        Mar 6, 2015 to Mar 15, 2016
      • Non-discretionary RAUM · $1.9M to $1.8M
        Mar 6, 2015 to Mar 15, 2016
      • RAUM · $53.4M to $50.5M
        Mar 6, 2015 to Mar 15, 2016
      • Accounts · 72 to 64
        Mar 13, 2014 to Mar 6, 2015
      • Advisory activities · 3 to 2
        Mar 13, 2014 to Mar 6, 2015
      • Discretionary RAUM · $63.1M to $51.5M
        Mar 13, 2014 to Mar 6, 2015
      • Non-discretionary RAUM · $1.9M to $1.9M
        Mar 13, 2014 to Mar 6, 2015
      • RAUM · $65.0M to $53.4M
        Mar 13, 2014 to Mar 6, 2015
      • Discretionary RAUM · $57.3M to $63.1M
        Mar 20, 2013 to Mar 13, 2014
      • Non-discretionary RAUM · $1.8M to $1.9M
        Mar 20, 2013 to Mar 13, 2014
      • RAUM · $59.0M to $65.0M
        Mar 20, 2013 to Mar 13, 2014
      • Accounts · 90 to 72
        Mar 20, 2012 to Mar 20, 2013
      • Advisory employees · unset to 1.0
        Mar 20, 2012 to Mar 20, 2013
      • Employees · unset to 1.0
        Mar 20, 2012 to Mar 20, 2013
      • Discretionary RAUM · $66.1M to $57.3M
        Mar 20, 2012 to Mar 20, 2013
      • Non-discretionary RAUM · $1.6M to $1.8M
        Mar 20, 2012 to Mar 20, 2013
      • RAUM · $67.8M to $59.0M
        Mar 20, 2012 to Mar 20, 2013
      Signals
      No event on the tape.
      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