KDP ASSET MANAGEMENT, INC.
Adviser information for KDP ASSET MANAGEMENT, INC. last updated from Form ADV on July 31st, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 31 | $90.3M |
| Non-Discretionary | 5 | $351.5M |
| Total | 36 | $441.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 29 | $27.9M |
| Banking or thrift institutions | 5 | $351.5M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $55.3M |
| Charitable organizations | <5 | $7.2M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 12 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSecurity ratings or pricing services |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-57760 |
|---|---|
| SEC ERA File Number | 801-57760 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110265 |
| Legal Entity Identifier | 254900Z733MKC5S81503 |
Principal Office
24 ELM STREETMONTPELIER
VT
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 802-223-0440, Fax: 802-229-6060
Websites
Chief Compliance Officer
KINGMAN PENNIMAN
PRESIDENT, CHIEF EXECUTIVE OFFICER
24 ELM STREET
MONTPELIER
VT
United States
Tel:
802-223-0440
Fax:
(802) 229-6060
K***************@********M
(Full email address available in API data)
Regulatory Contact
CJ FLYNN
COMPLIANCE OFFICER
24 ELM STREET
MONTPELIER
VT
United States
Tel:
802-223-0440
Fax:
(802) 229-6060
C*******@********M
(Full email address available in API data)
Industry Affiliates
| KDP INVESTMENT ADVISORS, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PENNIMAN, KINGMAN, D | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER | 07/1996 | < 5% |
| PENNIMAN, KINGMAN, D | Individual | KDP, LLC | PRESIDENT | 03/2003 | 50-75% |
| KDP, LLC | Domestic Entity | – | COMMON UNITS | 04/2003 | > 75% |
| SCHOENBECK, ROGER | Individual | – | TREASURER, SECRETARY | 10/2009 | < 5% |
| FLYNN, CHRISTOPHER, JOHN | Individual | – | COMPLIANCE OFFICER | 03/2018 | < 5% |
| PENNIMAN, KINGMAN, D | Individual | – | INTERIM CHIEF COMPLIANCE OFFICER | 03/2018 | < 5% |