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Former SEC-registered adviser

T•• K••••• M•••••

Former SEC-registered adviserCRD 284387SEC 801-108125IAPD
Legal name T•• K••••• M•••••• L••
Latest filing Nov 17, 2020
First filing on the tape Jul 7, 2016 · 13 filings
RAUM
$573,929
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$573,929 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$573,929 as of Mar 27, 2020
Jan 30, 2017$238,520 then
HNW client RAUM$198,466 as of Mar 27, 2020
Mar 19, 2018$166,849 then
State-registered IARs (5.B.3)2 as of Mar 27, 2020
Jan 30, 20171 then
Employees (5.A)3 as of Mar 27, 2020
Jan 30, 20171 then
Private funds: no history
RAUM +21% over the last fiscal year+34% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 17, 2020; every figure names its basis
RAUM per advisor
$286,965derivedRAUM 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
$114,786derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$375,46365%
  • High-net-worth individuals$198,46635%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
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
      • F••••••• S•••••• J••••• · Ownercontrol
        since 01/2012 · owns 25% to 50%
      • L••••••• P•••• E••• · Managing Member, Ccocontrol
        since 01/2012 · owns 50% to 75%
      • B••••• D••••• F••••••• · Owner
        since 01/2012 · owns 10% to 25%
      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
      • Employees · 2 to 3
        Mar 27, 2019 to Mar 27, 2020
      • Discretionary RAUM · $472,493 to $573,929
        Mar 27, 2019 to Mar 27, 2020
      • HNW RAUM · $161,261 to $198,466
        Mar 27, 2019 to Mar 27, 2020
      • Individual RAUM · $311,232 to $375,463
        Mar 27, 2019 to Mar 27, 2020
      • RAUM · $472,493 to $573,929
        Mar 27, 2019 to Mar 27, 2020
      • Accounts · 4 to 5
        Apr 27, 2018 to Mar 27, 2019
      • HNW clients · 1.0 to unset
        Apr 27, 2018 to Mar 27, 2019
      • Individual clients · 2.0 to unset
        Apr 27, 2018 to Mar 27, 2019
      • Financial planning clients · 0 to unset
        Apr 27, 2018 to Mar 27, 2019
      • Discretionary RAUM · $386,343 to $472,493
        Apr 27, 2018 to Mar 27, 2019
      • HNW RAUM · $166,849 to $161,261
        Apr 27, 2018 to Mar 27, 2019
      • Individual RAUM · $219,494 to $311,232
        Apr 27, 2018 to Mar 27, 2019
      • RAUM · $386,343 to $472,493
        Apr 27, 2018 to Mar 27, 2019
      • Accounts · 3 to 4
        Jan 11, 2018 to Mar 19, 2018
      • Advisory employees · 1 to 2
        Jan 11, 2018 to Mar 19, 2018
      • Charity clients · unset to 0.0
        Jan 11, 2018 to Mar 19, 2018
      • Corporate clients · unset to 0.0
        Jan 11, 2018 to Mar 19, 2018
      • HNW clients · unset to 1.0
        Jan 11, 2018 to Mar 19, 2018
      • Individual clients · unset to 2.0
        Jan 11, 2018 to Mar 19, 2018
      • Pension plan clients · unset to 0.0
        Jan 11, 2018 to Mar 19, 2018
      • Pooled vehicle clients · unset to 0.0
        Jan 11, 2018 to Mar 19, 2018
      • Employees · 1 to 2
        Jan 11, 2018 to Mar 19, 2018
      • State-registered IARs · 1 to 2
        Jan 11, 2018 to Mar 19, 2018
      • Discretionary RAUM · $238,520 to $386,343
        Jan 11, 2018 to Mar 19, 2018
      • HNW RAUM · unset to 166849.0
        Jan 11, 2018 to Mar 19, 2018
      • Individual RAUM · unset to 219494.0
        Jan 11, 2018 to Mar 19, 2018
      • Pension RAUM · unset to 0.0
        Jan 11, 2018 to Mar 19, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jan 11, 2018 to Mar 19, 2018
      • RAUM · $238,520 to $386,343
        Jan 11, 2018 to Mar 19, 2018
      • Other offices · unset to 0.0
        Sep 28, 2017 to Jan 11, 2018
      • Financial planning clients · unset to 0
        Dec 23, 2016 to Jan 30, 2017
      • Discretionary RAUM · $250,000 to $238,520
        Dec 23, 2016 to Jan 30, 2017
      • RAUM · $250,000 to $238,520
        Dec 23, 2016 to Jan 30, 2017
      • Accounts · 0 to 3
        Aug 12, 2016 to Dec 23, 2016
      • Advisory activities · 4 to 2
        Aug 12, 2016 to Dec 23, 2016
      • Discretionary RAUM · $0 to $250,000
        Aug 12, 2016 to Dec 23, 2016
      • RAUM · $0 to $250,000
        Aug 12, 2016 to Dec 23, 2016
      Signals
      1 dated events
      • T•• K••••• M••••• filed its initial SEC registration (Form ADV)
        Jul 7, 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