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K•• S••••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $3.4M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$3.4M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
100% of RAUM, $3.4M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 3 months ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 340120 · SEC 801-135209 · 3 filingsShow
CRD 340120SEC 801-135209First filing on the tape Jan 20, 2026, latest May 29, 2026SEC status 120-day approval since Jan 20, 2026IAPD
RAUM
$3.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$3.4M as of May 29, 2026
Jan 20, 2026$0 then
HNW client RAUM$3.4M as of May 29, 2026
Apr 1, 2026$3.4M then
State-registered IARs (5.B.3)1 as of May 29, 2026
Jan 20, 20261 then
Employees (5.A)1 as of May 29, 2026
Jan 20, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 29, 2026; every figure names its basis
RAUM per advisor
$3.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.4M100%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••• I•••• K••Chartered Financial AnalystLa Crescenta, CaFeb 2, 202613 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      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
      • Advisory activities · 3 to 2
        Apr 1, 2026 to May 29, 2026
      • Accounts · 0 to 3
        Jan 20, 2026 to Apr 1, 2026
      • Advisory activities · 2 to 3
        Jan 20, 2026 to Apr 1, 2026
      • HNW clients · unset to 1.0
        Jan 20, 2026 to Apr 1, 2026
      • Assets in custody · unset to 0.0
        Jan 20, 2026 to Apr 1, 2026
      • Custody of client assets · false to true
        Jan 20, 2026 to Apr 1, 2026
      • Discretionary RAUM · $0 to $3.4M
        Jan 20, 2026 to Apr 1, 2026
      • HNW RAUM · unset to 3401249.0
        Jan 20, 2026 to Apr 1, 2026
      • RAUM · $0 to $3.4M
        Jan 20, 2026 to Apr 1, 2026
      Signals
      1 dated events
      • ••• Locked
        Jul 1, 2026 · Left the SEC roster · derived
      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
      $3.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026