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Former SEC-registered adviser

K•••• C••••••• I••••••••• A••••••

Former SEC-registered adviserCRD 139722SEC 801-66344IAPD
Legal name K•••• P•••••• C•••••••
Latest filing Jan 6, 2017
First filing on the tape Jan 17, 2012 · 9 filings
RAUM
$30.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$30.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$30.0M as of Jan 6, 2017
Jan 17, 2012$44.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 6, 2017
Jan 17, 20120 then
Employees (5.A)1 as of Jan 6, 2017
Feb 8, 20131 then
Private funds: no history
RAUM -0.8% over the last fiscal year-1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 6, 2017; every figure names its basis
RAUM per advisor
$30.0MderivedRAUM 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
$555,556derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-0.8%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 assetsreportedItem 5.E
Advisory activities
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
  • 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
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
54reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• P•••••• C•••••••Dallas, TxJan 29, 201827 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••••• K••••• P•••••• · President And Chief Compliance Officercontrol
      since 01/2006 · 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 · 56 to 54
      Feb 23, 2016 to Jan 6, 2017
    • Non-discretionary RAUM · $30.2M to $30.0M
      Feb 23, 2016 to Jan 6, 2017
    • RAUM · $30.2M to $30.0M
      Feb 23, 2016 to Jan 6, 2017
    • Accounts · 67 to 56
      Mar 26, 2015 to Feb 23, 2016
    • Non-discretionary RAUM · $31.5M to $30.2M
      Mar 26, 2015 to Feb 23, 2016
    • RAUM · $31.5M to $30.2M
      Mar 26, 2015 to Feb 23, 2016
    • Related broker-dealer · false to true
      Mar 26, 2015 to Feb 23, 2016
    • Accounts · 60 to 67
      Mar 17, 2014 to Jan 29, 2015
    • Non-discretionary RAUM · $31.0M to $31.5M
      Mar 17, 2014 to Jan 29, 2015
    • RAUM · $31.0M to $31.5M
      Mar 17, 2014 to Jan 29, 2015
    • Accounts · 68 to 60
      Feb 8, 2013 to Mar 17, 2014
    • Non-discretionary RAUM · $28.0M to $31.0M
      Feb 8, 2013 to Mar 17, 2014
    • RAUM · $28.0M to $31.0M
      Feb 8, 2013 to Mar 17, 2014
    • Accounts · 30 to 68
      Jan 17, 2012 to Feb 8, 2013
    • Advisory employees · unset to 1.0
      Jan 17, 2012 to Feb 8, 2013
    • Employees · unset to 1.0
      Jan 17, 2012 to Feb 8, 2013
    • Non-discretionary RAUM · $44.0M to $28.0M
      Jan 17, 2012 to Feb 8, 2013
    • RAUM · $44.0M to $28.0M
      Jan 17, 2012 to Feb 8, 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
    $30.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026