DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

K••••• P•••• C•••••• M••••••••• L••

Former SEC-registered adviserBlue Bell, PennsylvaniaCRD 166537SEC 801-77637IAPD
Latest filing Mar 10, 2014
First filing on the tape Feb 6, 2013 · 6 filings
RAUM
$9.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$9.1M as of Mar 10, 2014
Feb 6, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 10, 2014
Feb 6, 20133 then
Employees (5.A)8 as of Mar 10, 2014
Feb 6, 20133 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 10, 2014; every figure names its basis
RAUM per advisor
$1.1MderivedRAUM 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
$97,129derivedRAUM 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
4.0derived2 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 institutions, selection of other advisersreportedItem 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
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
94reported
Financial planning clients
51-100reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P••••• R•••••• J••••• · Managing Directorcontrol
    since 12/2012 · owns 25% to 50%
  • P••••• R•••• M• · Managing Member And Chief Compliance Officercontrol
    since 12/2012 · owns 25% to 50%
  • K•••••• J•••• B•••••• · Presidentcontrol
    since 05/2011 · owns 75% or more of J••• K••••• • A••••••••• I•••
Entity owners
  • J••• K••••• • A••••••••• I••• · Managing Member
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • New York, NY
What changed
consecutive filings, newest first
  • Accounts · 0 to 94
    Sep 18, 2013 to Mar 10, 2014
  • Advisory employees · 3 to 8
    Sep 18, 2013 to Mar 10, 2014
  • Employees · 3 to 8
    Sep 18, 2013 to Mar 10, 2014
  • Insurance-licensed employees · 3 to 4
    Sep 18, 2013 to Mar 10, 2014
  • Financial planning clients · 0 to 51-100
    Sep 18, 2013 to Mar 10, 2014
  • State-registered IARs · 3 to 8
    Sep 18, 2013 to Mar 10, 2014
  • Non-discretionary RAUM · $0 to $9.1M
    Sep 18, 2013 to Mar 10, 2014
  • RAUM · $0 to $9.1M
    Sep 18, 2013 to Mar 10, 2014
Signals
1 dated events
  • K••••• P•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Feb 6, 2013 · 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.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026