DFX Intelligence
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SEC-registered adviser
J• P•••••• W•••••• L••
Latest filing Mar 3, 2026
First filing on the tape Nov 15, 2019 · 16 filings
SEC status approved since Apr 2, 2024
RAUM
$156M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$156M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$156M as of Mar 3, 2026
Mar 12, 2020$39.7M then
HNW client RAUM$143M as of Mar 3, 2026
Mar 12, 2020$26.5M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 12, 20201 then
Employees (5.A)2 as of Mar 3, 2026
Mar 12, 20202 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $336,403derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $30.7M, 92 clientsreportedItem 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
- 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
- High-net-worth individuals$143M91%
- Individuals$13.4M8.5%
- Individual clients
- 42reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 465reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.7M for 92 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• O••••• K•••• | Glastonbury, Ct | Dec 16, 2019 | 29 y | 1 |
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
- J••• O••••• K•••• from N••••••••• M••••• I••••••••• S•••••••••Dec 16, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• J•••• O••••• · Managing Member & Chief Compliance Officercontrolsince 12/2019 · owns 75% or more
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
- Accounts · 453 to 465Feb 20, 2025 to Mar 3, 2026
- HNW clients · 57 to 73Feb 20, 2025 to Mar 3, 2026
- Individual clients · 75 to 42Feb 20, 2025 to Mar 3, 2026
- Assets in custody · $22.5M to $30.7MFeb 20, 2025 to Mar 3, 2026
- Discretionary RAUM · $127M to $156MFeb 20, 2025 to Mar 3, 2026
- HNW RAUM · $104M to $143MFeb 20, 2025 to Mar 3, 2026
- Individual RAUM · $23.5M to $13.4MFeb 20, 2025 to Mar 3, 2026
- RAUM · $127M to $156MFeb 20, 2025 to Mar 3, 2026
- Accounts · 358 to 453Feb 28, 2024 to Feb 20, 2025
- HNW clients · 89 to 57Feb 28, 2024 to Feb 20, 2025
- Individual clients · 72 to 75Feb 28, 2024 to Feb 20, 2025
- Assets in custody · $6.4M to $22.5MFeb 28, 2024 to Feb 20, 2025
- Financial planning clients · unset to Feb 28, 2024 to Feb 20, 2025
- Discretionary RAUM · $107M to $127MFeb 28, 2024 to Feb 20, 2025
- HNW RAUM · $87.4M to $104MFeb 28, 2024 to Feb 20, 2025
- Individual RAUM · $19.6M to $23.5MFeb 28, 2024 to Feb 20, 2025
- Pension RAUM · 286419.0 to unsetFeb 28, 2024 to Feb 20, 2025
- RAUM · $107M to $127MFeb 28, 2024 to Feb 20, 2025
- Accounts · 126 to 358May 11, 2020 to Feb 28, 2024
- BD registered reps · 1 to 0May 11, 2020 to Feb 28, 2024
- HNW clients · 27 to 89May 11, 2020 to Feb 28, 2024
- Individual clients · 42 to 72May 11, 2020 to Feb 28, 2024
- Assets in custody · $1.1M to $6.4MMay 11, 2020 to Feb 28, 2024
- Organization form · Limited Liability Partnership to Limited Liability CompanyMay 11, 2020 to Feb 28, 2024
- Discretionary RAUM · $39.7M to $107MMay 11, 2020 to Feb 28, 2024
- HNW RAUM · $26.5M to $87.4MMay 11, 2020 to Feb 28, 2024
- Individual RAUM · $13.2M to $19.6MMay 11, 2020 to Feb 28, 2024
- Pension RAUM · unset to 286419.0May 11, 2020 to Feb 28, 2024
- RAUM · $39.7M to $107MMay 11, 2020 to Feb 28, 2024
- Accounts · 0 to 126Dec 17, 2019 to Mar 12, 2020
- HNW clients · unset to 27.0Dec 17, 2019 to Mar 12, 2020
- Individual clients · unset to 42.0Dec 17, 2019 to Mar 12, 2020
- Assets in custody · unset to 1110758.0Dec 17, 2019 to Mar 12, 2020
- Custody of client assets · false to trueDec 17, 2019 to Mar 12, 2020
- Employees · 1 to 2Dec 17, 2019 to Mar 12, 2020
- Discretionary RAUM · $0 to $39.7MDec 17, 2019 to Mar 12, 2020
- HNW RAUM · unset to 26466758.0Dec 17, 2019 to Mar 12, 2020
- Individual RAUM · unset to 13222663.0Dec 17, 2019 to Mar 12, 2020
- RAUM · $0 to $39.7MDec 17, 2019 to Mar 12, 2020
Signals
1 dated events
- J• P•••••• W•••••• L•• filed its initial SEC registration (Form ADV)Nov 15, 2019 · 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
- Business phone
- 860-781-8341reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-781-8344reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- JKP••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 860-781-8341reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- j•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- j•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026