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Former SEC-registered adviser

M•••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserNew Hope, PennsylvaniaCRD 166171SEC 801-77375IAPD
Latest filing May 14, 2013
First filing on the tape Nov 12, 2012 · 7 filings
RAUM
$15.7M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$7.8M
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
7 filings and snapshots on the tape
RAUM$15.7M as of May 14, 2013
Mar 26, 2013$15.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 14, 2013
Nov 12, 20120 then
Employees (5.A)1 as of May 14, 2013
Nov 12, 20121 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 14, 2013; every figure names its basis
RAUM per advisor
$7.8MderivedRAUM 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
$191,073derivedRAUM over accounts (5.F.2.f)
Discretionary
87%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
82reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
W•••••• H••••• S••••••Certified Financial PlannerNew Hope, Pa Dec 5, 201245 y3
R••••• K•••• L••••••New Hope, Pa Nov 13, 201711 y0
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
    • S••••••• M••••• S•••• · Membercontrol
      since 11/2012 · owns 50% to 75%
    • S••••••• W••••••• H••••• · Chief Compliance Officer / Membercontrol
      since 12/2012 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    New Hope, Pa · principal200
    Offices
    Schedule D 1.F, the 25 largest
    • Lower Southhampton, PA
    What changed
    consecutive filings, newest first
    • Accounts · unset to 82.0
      Dec 4, 2012 to Mar 26, 2013
    • Business name · K••• E••••••••• L•• to M•••••••• I••••••••• A•••••••• L••
      Dec 4, 2012 to Mar 26, 2013
    • Legal name · K••• E••••••••• L•• to M•••••••• I••••••••• A•••••••• L••
      Dec 4, 2012 to Mar 26, 2013
    • Discretionary RAUM · unset to 13568000.0
      Dec 4, 2012 to Mar 26, 2013
    • Non-discretionary RAUM · unset to 2100000.0
      Dec 4, 2012 to Mar 26, 2013
    • RAUM · unset to 15668000.0
      Dec 4, 2012 to Mar 26, 2013
    • Advisory employees · 0 to 1
      Nov 19, 2012 to Dec 4, 2012
    • BD registered reps · 0 to 1
      Nov 19, 2012 to Dec 4, 2012
    • State-registered IARs · 0 to 1
      Nov 19, 2012 to Dec 4, 2012
    Signals
    1 dated events
    • K••• E••••••••• L•• filed its initial SEC registration (Form ADV)
      Nov 12, 2012 · 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
    M••••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 21, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $7.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026