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I••••••• A••••••• L••

Other adviserSEC-registered· Austin, Texaswebsite

Other adviser, based in Austin, Texas, reporting $103M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$103M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. New owner
    ownership and control

    I••••••• P••••••• L•• appeared on Schedule A as an owner on 8 May 2026.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
Every filed figure, and the identifiersCRD 339425 · SEC 801-135133 · 2 filingsShow
CRD 339425SEC 801-135133First filing on the tape Jan 8, 2026, latest May 8, 2026SEC status approved since Jan 9, 2026IAPD
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape

Filed figures over time · the tape starts Jan 8, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$103M as of May 8, 2026
Jan 8, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 8, 2026
Jan 8, 20261 then
Employees (5.A)4 as of May 8, 2026
Jan 8, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$103MderivedRAUM 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
$4.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
25reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bank; 100% of advisors also broker-dealer representativesderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      B•••• B••• K•••••••Austin, Tx Jan 13, 202612 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••••• B••••• B••• · Chief Investment Officercontrol
        since 12/2025 · owns less than 5%
      • L••••••• M••••• K••••• · Chief Executive Officercontrol
        since 12/2025 · owns less than 5%
      • L••••••• N••••• N• · Chief Compliance Officercontrol
        since 12/2025 · owns less than 5%
      Entity owners
      • I••••••• P••••••• L•• · Owner
        direct · 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 · 0 to 25
        Jan 8, 2026 to May 8, 2026
      • BD registered reps · 0 to 1
        Jan 8, 2026 to May 8, 2026
      • Discretionary RAUM · $0 to $103M
        Jan 8, 2026 to May 8, 2026
      • RAUM · $0 to $103M
        Jan 8, 2026 to May 8, 2026
      Signals
      1 dated events
      • ••• Locked
        Jan 8, 2026 · First SEC registration · derived
      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
      Website
      ••• Lockedreportedpublic record, Form ADV, May 8, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, May 8, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Other adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $103Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: RAUM change, 1 year.