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B••• A•••• M••••••••• I•••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $117M of regulatory assets.

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

Regulatory AUM
$117M
Advisors
0
RAUM change, 1 year
+9.5%
Private clients
96%
of RAUM, $112M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +9.5%
    RAUM, one year

    RAUM $107M to $117M (+9.5%) on the Form ADV filed 14 May 2026.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 125967 · SEC 801-132486 · 3 filingsShow
CRD 125967SEC 801-132486First filing on the tape Apr 9, 2025, latest May 14, 2026SEC status approved since Apr 21, 2025IAPD
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$112M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
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
3 filings and snapshots on the tape

RAUM +9.5% over the last fiscal year · the tape starts Apr 9, 2025

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$117M as of May 14, 2026
Apr 9, 2025$107M then
HNW client RAUM$92.9M as of May 14, 2026
Apr 9, 2025$82.4M then
State-registered IARs (5.B.3)0 as of May 14, 2026
Apr 9, 20250 then
Employees (5.A)1 as of May 14, 2026
Apr 9, 20251 then
Private funds: no history
RAUM +9.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 14, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
$4.4MderivedHNW RAUM over HNW clients
Average account
$635,647derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+9.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-1.3%derived
Compensation
percentage of assets, hourly, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

79% high-net-worth individuals, 17% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$92.9M79%
  • Individuals$19.4M17%
  • Pension and profit-sharing plans$4.6M4.0%
Individual clients
54reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
184reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 96% private clients, 0% pooled funds, 4% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• C••••••••• K••••• · President & Chief Compliance Officercontrol
        since 02/1998 · owns 50% to 75%
      • B•••• T••••• P•••• · Vice President & Secretarycontrol
        since 02/1998 · owns 50% to 75%
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      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
      • Accounts · 169 to 184
        Apr 9, 2025 to Mar 26, 2026
      • HNW clients · 20 to 21
        Apr 9, 2025 to Mar 26, 2026
      • Individual clients · 56 to 54
        Apr 9, 2025 to Mar 26, 2026
      • Discretionary RAUM · $107M to $117M
        Apr 9, 2025 to Mar 26, 2026
      • HNW RAUM · $82.4M to $92.9M
        Apr 9, 2025 to Mar 26, 2026
      Full history · 8 changes
      • Individual RAUM · $19.3M to $19.4M
        Apr 9, 2025 to Mar 26, 2026
      • Pension RAUM · $4.2M to $4.6M
        Apr 9, 2025 to Mar 26, 2026
      • RAUM · $107M to $117M
        Apr 9, 2025 to Mar 26, 2026
      Signals
      1 dated events
      • ••• Locked
        Apr 9, 2025 · First SEC registration · derived
      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, May 14, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.