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Former SEC-registered adviser

K••••• N••••• I•••••••••

Former SEC-registered adviserKaty, TexasCRD 198517SEC 801-107356IAPD
Latest filing Aug 14, 2018
First filing on the tape Feb 24, 2016 · 13 filings
RAUM
$27.1M
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
28%
$7.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$27.1M as of Mar 26, 2018
Jan 26, 2017$286M then
HNW client RAUM: $5.7M
State-registered IARs (5.B.3)2 as of Mar 26, 2018
Jan 26, 20171 then
Employees (5.A)3 as of Mar 26, 2018
Jan 26, 20173 then
Private funds: no history
RAUM -91% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Aug 14, 2018; every figure names its basis
RAUM per advisor
$13.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$382,184derivedHNW RAUM over HNW clients
Average account
$629,914derivedRAUM over accounts (5.F.2.f)
Discretionary
63%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-91%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
yesreportedItem 9.A
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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$19.3M71%
  • High-net-worth individuals$5.7M21%
  • Individuals$2.0M7.3%
Individual clients
19reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
43reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
      • L••••• C••••••••• K••••• · Partner/Chief Compliance Officer/Chief Investment Officercontrol
        since 04/2015 · owns 50% to 75%
      • J••••• F••••••• A• · Partner
        since 02/2017 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Orlando, FL2 employees
      What changed
      consecutive filings, newest first
      • Advisory activities · 5 to 4
        Aug 6, 2018 to Aug 9, 2018
      • Advisory activities · 4 to 5
        May 22, 2018 to Jun 24, 2018
      • BD registered reps · 0 to 1
        Mar 26, 2018 to May 22, 2018
      • Assets in custody · unset to 0.0
        Mar 26, 2018 to May 22, 2018
      • Custody of client assets · false to true
        Mar 26, 2018 to May 22, 2018
      • Accounts · 15 to 43
        Aug 10, 2017 to Mar 26, 2018
      • Corporate clients · unset to 7.0
        Aug 10, 2017 to Mar 26, 2018
      • HNW clients · unset to 15.0
        Aug 10, 2017 to Mar 26, 2018
      • Individual clients · unset to 19.0
        Aug 10, 2017 to Mar 26, 2018
      • Assets in custody · 849870.0 to unset
        Aug 10, 2017 to Mar 26, 2018
      • Custody of client assets · true to false
        Aug 10, 2017 to Mar 26, 2018
      • Other offices · unset to 1.0
        Aug 10, 2017 to Mar 26, 2018
      • Discretionary RAUM · $103M to $17.1M
        Aug 10, 2017 to Mar 26, 2018
      • HNW RAUM · unset to 5732758.0
        Aug 10, 2017 to Mar 26, 2018
      • Individual RAUM · unset to 1985433.0
        Aug 10, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · $183M to $10.0M
        Aug 10, 2017 to Mar 26, 2018
      • RAUM · $286M to $27.1M
        Aug 10, 2017 to Mar 26, 2018
      • HQ city · HOUSTON to KATY
        Feb 15, 2017 to Aug 10, 2017
      • Advisory employees · 1 to 2
        Jan 26, 2017 to Feb 15, 2017
      • State-registered IARs · 1 to 2
        Jan 26, 2017 to Feb 15, 2017
      • Accounts · 7 to 15
        Jun 9, 2016 to Jan 26, 2017
      • Advisory employees · 2 to 1
        Jun 9, 2016 to Jan 26, 2017
      • Assets in custody · unset to 849870.0
        Jun 9, 2016 to Jan 26, 2017
      • Custody of client assets · false to true
        Jun 9, 2016 to Jan 26, 2017
      • Employees · 5 to 3
        Jun 9, 2016 to Jan 26, 2017
      • Financial planning clients · 1-10 to 11-25
        Jun 9, 2016 to Jan 26, 2017
      • State-registered IARs · 2 to 1
        Jun 9, 2016 to Jan 26, 2017
      • Discretionary RAUM · $153M to $103M
        Jun 9, 2016 to Jan 26, 2017
      • Non-discretionary RAUM · $1.4M to $183M
        Jun 9, 2016 to Jan 26, 2017
      • RAUM · $154M to $286M
        Jun 9, 2016 to Jan 26, 2017
      • Advisory employees · 1 to 2
        Mar 14, 2016 to Jun 9, 2016
      • State-registered IARs · 1 to 2
        Mar 14, 2016 to Jun 9, 2016
      Signals
      2 dated events
      • K••••• N••••• I••••••••• reported RAUM $27.1M, down 91% from $286.1M (2017-08-10 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      • K••••• N••••• I••••••••• filed its initial SEC registration (Form ADV)
        Feb 24, 2016 · 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