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T•• P•••••••• P••••••

Independent wealth managerSEC-registered· Groton, Massachusettswebsite

Independent wealth manager, based in Groton, Massachusetts, reporting $145M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$145M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
+16%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $145M
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 130601 · SEC 801-129924 · 3 filingsShow
CRD 130601SEC 801-129924Legal name T•• P•••••••• P••••••• L••First filing on the tape Mar 18, 2024, latest Feb 26, 2026SEC status approved since Apr 17, 2024IAPD
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.7M
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
3 filings and snapshots on the tape
RAUM$145M as of Feb 26, 2026
Feb 26, 2025$125M then
HNW client RAUM$133M as of Feb 26, 2026
Feb 26, 2025$96.3M then
State-registered IARs (5.B.3)2 as of Feb 26, 2026
Feb 26, 20252 then
Employees (5.A)2 as of Feb 26, 2026
Feb 26, 20252 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$72.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$2.2MderivedRAUM 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
2.0derived1 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
-1.5%derived
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)
  • 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$133M92%
  • Individuals$11.9M8.2%
Individual clients
12reported
HNW clients
54reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
66reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P••••••• A•• K•••••••Certified Financial PlannerGroton, MaSep 25, 199929 y0
J••• H•••• K•••••••Certified Financial PlannerGroton, Ma Mar 22, 201615 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••••• J•••• H•••• · Managing Member/Ccocontrol
      since 06/2018 · owns 75% or more
    • K•••••••• P•••••••• A•• · Managing Membercontrol
      since 01/2017 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Groton, Ma · 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 Feb 26, 2026
      HNW share of RAUM moved from 77.0% to 92.0% between the annual amendments of 2025-02-26 and 2026-02-26
      peers: independent wealth managers, $100M to $500M (5,682)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 67 to 66
      Feb 26, 2025 to Feb 26, 2026
    • HNW clients · 38 to 54
      Feb 26, 2025 to Feb 26, 2026
    • Individual clients · 29 to 12
      Feb 26, 2025 to Feb 26, 2026
    • Discretionary RAUM · $125M to $145M
      Feb 26, 2025 to Feb 26, 2026
    • HNW RAUM · $96.3M to $133M
      Feb 26, 2025 to Feb 26, 2026
    • Individual RAUM · $29.2M to $11.9M
      Feb 26, 2025 to Feb 26, 2026
    • RAUM · $125M to $145M
      Feb 26, 2025 to Feb 26, 2026
    • HNW clients · 31 to 38
      Mar 18, 2024 to Feb 26, 2025
    • Individual clients · 36 to 29
      Mar 18, 2024 to Feb 26, 2025
    • Financial planning clients · 0 to 1-10
      Mar 18, 2024 to Feb 26, 2025
    • Discretionary RAUM · $109M to $125M
      Mar 18, 2024 to Feb 26, 2025
    • HNW RAUM · $74.4M to $96.3M
      Mar 18, 2024 to Feb 26, 2025
    • Individual RAUM · $34.5M to $29.2M
      Mar 18, 2024 to Feb 26, 2025
    • RAUM · $109M to $125M
      Mar 18, 2024 to Feb 26, 2025
    Signals
    2 dated events
    • ••• Locked
      Feb 26, 2026 · ria ownership band change · fact
    • ••• Locked
      Mar 18, 2024 · 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, Feb 26, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Feb 26, 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
    $72.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026