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STATE REGISTEREDFormer SEC adviserwebsite

STATE REGISTERED, reporting $9.5M of regulatory assets.

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

Last reported RAUM
$9.5M
Form ADV
Private clients
100%
of RAUM, $9.5M
Form ADV
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

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

Every filed figure, and the identifiersCRD 162584 · 1 filingsShow
CRD 162584First filing on the tape Mar 11, 2026, latest Mar 11, 2026IAPD
RAUM
$9.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$9.5M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape

Filed figures over time

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$9.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.0MderivedHNW RAUM over HNW clients
Average account
$380,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 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 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

96% high-net-worth individuals, 4.2% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$9.1M96%
  • Individuals$400,0004.2%
Individual clients
n/areported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    S•••• K• P••Chartered Financial AnalystHerndon, VaJun 5, 201218 y1
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    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
    One filing, no change to show.
    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
    Website
    ••• Lockedreportedpublic record, Form ADV, Mar 11, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Mar 11, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 15, 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
    STATE REGISTEREDderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    Not computedderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026