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K••••• K••• W••••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Fort Wayne, Indiana

Former SEC-registered adviser, based in Fort Wayne, Indiana, reporting $35.1M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$35.1M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 130679 · SEC 801-71389 · 2 filingsShow
CRD 130679SEC 801-71389First filing on the tape Mar 30, 2012, latest Jun 22, 2012IAPD
RAUM
$35.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$35.1M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape

Filed figures over time · the tape starts Mar 30, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$35.1M as of Jun 22, 2012
Mar 30, 2012$40.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 22, 2012
Mar 30, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 22, 2012; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$35.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$290,496derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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 an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
121reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    A••••• P• S•••••••Certified Financial PlannerFort Wayne, InJan 31, 202426 y4
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••• J•••• R• · Vice Presidentcontrol
      since 01/2004 · owns 25% to 50%
    • K•••••• R••••••• W••••• · Vice Presidentcontrol
      since 01/2004 · owns 25% to 50%
    • S•••••••• S••••••• J• · Secretary, Treasurercontrol
      since 01/2004 · owns 25% to 50%
    • S•••••••• A•••••• P• · President, Chief Compliance Officercontrol
      since 01/2004 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • J••• G••••
      insurancen
    • R••• K•••••
      insurancen
    • S•••• S•••••••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 126 to 121
      Mar 30, 2012 to Jun 22, 2012
    • Discretionary RAUM · $34.0M to $35.0M
      Mar 30, 2012 to Jun 22, 2012
    • Non-discretionary RAUM · $6.4M to $150,000
      Mar 30, 2012 to Jun 22, 2012
    • RAUM · $40.4M to $35.1M
      Mar 30, 2012 to Jun 22, 2012
    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
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $35.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026