DFX Intelligence
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I••••••••• M••••••••• T••••• L••
Independent wealth managerSEC-registered· Fitchburg, Massachusetts
Independent wealth manager, based in Fitchburg, Massachusetts, reporting $123M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $123M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +16%
- Private clients
- 100% of RAUM, $123M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $107MRAUM now $123M
- Contact points 1
Every filed figure, and the identifiersCRD 129456 · SEC 801-132396 · 3 filingsShowHide
CRD 129456SEC 801-132396First filing on the tape Mar 12, 2025, latest Mar 25, 2026SEC status approved since Apr 14, 2025IAPD
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$123M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$123M
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$123M as of Mar 25, 2026
Mar 12, 2025$107M then
HNW client RAUM$90.2M as of Mar 25, 2026
Mar 12, 2025$73.4M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 12, 20251 then
Employees (5.A)1 as of Mar 25, 2026
Mar 12, 20251 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 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
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 147derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $404,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assetsreportedItem 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
- High-net-worth individuals$90.2M73%
- Individuals$33.2M27%
- Individual clients
- 105reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 305reported
- Financial planning clients
- 11-25reported
- 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• P••• P••••Certified Financial Planner | Fitchburg, Ma | Jan 26, 2005 | 47 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••••• K••••••• P••• · Managing Member And Chief Compliance Officercontrolsince 06/2015 · 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
- Accounts · 328 to 305Mar 12, 2025 to Feb 6, 2026
- HNW clients · 37 to 42Mar 12, 2025 to Feb 6, 2026
- Individual clients · 109 to 105Mar 12, 2025 to Feb 6, 2026
- Financial planning clients · 0 to 11-25Mar 12, 2025 to Feb 6, 2026
- Discretionary RAUM · $107M to $123MMar 12, 2025 to Feb 6, 2026
- HNW RAUM · $73.4M to $90.2MMar 12, 2025 to Feb 6, 2026
- Individual RAUM · $33.2M to $33.2MMar 12, 2025 to Feb 6, 2026
- RAUM · $107M to $123MMar 12, 2025 to Feb 6, 2026
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 25, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026