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.

Former SEC-registered adviser

Kpb Investment Advisors LLC

Former SEC-registered adviserCleveland, OhioCRD 167934SEC 801-78120IAPD
Latest filing Mar 13, 2017
First filing on the tape May 22, 2013 · 13 filings
RAUM
$91.3M
reported, Item 5.F
Discretionary
100%
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$91.3M as of Mar 13, 2017
Mar 17, 2014$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2017
Mar 17, 20142 then
Employees (5.A)6 as of Mar 13, 2017
Mar 17, 20147 then
Private funds: no history
RAUM -22% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$45.7MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-22%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 investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.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
2reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Allen Paul Toft · Directorcontrol
        since 03/2013 · owns less than 5%
      • Alfred Paul Weick · Secretarycontrol
        since 03/2013 · owns less than 5%
      • Giuseppe Calabrese · President
        since 05/2016 · owns less than 5%
      • P George Mcbride · Chief Financial Officer
        since 03/2017 · owns less than 5%
      • Ekaterini Tantsios · Cco
        since 01/2015 · owns less than 5%
      Entity owners
      • Keybank National Association · Shareholder
        direct · owns 75% or more
      • Keycorp · Shareholder
        indirect · owns 75% or more of Keybank National Association · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Kpb Investment Advisors LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $117M to $91.3M
        Jul 27, 2016 to Mar 13, 2017
      • RAUM · $117M to $91.3M
        Jul 27, 2016 to Mar 13, 2017
      • BD registered reps · 0 to 1
        Apr 15, 2015 to Mar 11, 2016
      • Discretionary RAUM · $146M to $117M
        Apr 15, 2015 to Mar 11, 2016
      • RAUM · $146M to $117M
        Apr 15, 2015 to Mar 11, 2016
      • BD registered reps · 5 to 0
        Aug 14, 2014 to Jan 22, 2015
      • Employees · 7 to 6
        Aug 14, 2014 to Jan 22, 2015
      • Insurance-licensed employees · 2 to 0
        Aug 14, 2014 to Jan 22, 2015
      • State-registered IARs · 2 to 0
        Aug 14, 2014 to Jan 22, 2015
      • Discretionary RAUM · $145M to $146M
        Aug 14, 2014 to Jan 22, 2015
      • RAUM · $145M to $146M
        Aug 14, 2014 to Jan 22, 2015
      • Related bank · true to false
        Aug 14, 2014 to Jan 22, 2015
      • Discretionary RAUM · $146M to $145M
        Mar 17, 2014 to Aug 14, 2014
      • RAUM · $146M to $145M
        Mar 17, 2014 to Aug 14, 2014
      • Discretionary RAUM · $156M to $146M
        Sep 27, 2013 to Mar 17, 2014
      • RAUM · $156M to $146M
        Sep 27, 2013 to Mar 17, 2014
      • Accounts · 0 to 2
        May 22, 2013 to Sep 27, 2013
      • Discretionary RAUM · $0 to $156M
        May 22, 2013 to Sep 27, 2013
      • RAUM · $0 to $156M
        May 22, 2013 to Sep 27, 2013
      Signals
      1 dated events
      • Kpb Investment Advisors Llc filed its initial SEC registration (Form ADV)
        May 22, 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