Kb Financial Partners, LLC (Princeton)


Kb Financial Partners, LLC is a large advisory firm based in Princeton. It manages $593.79 million of regulatory assets for 267 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of California, Connecticut, Florida, and 5 other states.

Kb Financial Partners provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Kb Financial Partners: assets under management

The assets under management (AUM) of Kb Financial Partners, LLC is $593.79 million. The firm's AUM has grown by 185% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $574 million in discretionary accounts and $19.79 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.22 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $2.47 million.
Kb Financial Partners has custody of $21.87 million in cash and securities for 47 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 87% of the total AUM. The second-largest asset type is exchange traded securities, which make up 6% of the firm’s portfolio. Investments in state and local bonds form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Kb Financial Partners, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients James David Kaplan serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and pension and profit sharing plans. The largest group of clients of James David Kaplan is high net worth individuals with 130 clients and $482.28 million of assets under management. Among the 12 most similar advisory firms, Kb Financial Partners has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $585.42 million for 264 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Kb Financial Partners doesn't advise any private funds.

Careers at Kb Financial Partners, LLC

The company employs 15 people that are either part- or full-time employees. 47 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There are 4 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

James David Kaplan has been acting as President since 1 Jul 1999. Erik Mosholt has served as the Chief Investment Officer since 1 Jul 2005. Llc Kb Financial Companies joined the executive team most recently as the Managing Member.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
James David Kaplan President 1 Jul 1999 50% - 75% 1184946
Erik Mosholt Chief investment officer/chief compliance officer 1 Jul 2005 Other 2016965
Erik Nmn Mosholt Chief investment officer/chief compliance officer 1 Jul 2005 Other 2016965
William Henry Damora Principal 1 Dec 2008 25% - 50% 809442
Llc Kb Financial Companies Managing member 1 Aug 2016 75% - 100% 81-1106288

Indirect Owners

The SEC currently registers 4 indirect owners.

Name Entity Date acquired Ownership Employer ID
Regina Law Massad Owner 1 May 2013 50% - 75% 6164555
Elizabeth Ann Thielmann Owner 1 May 2013 25% - 50% 6711627
James David Kaplan Managing member 1 Jan 2016 50% - 75% 1184946
Dana Holdings Bda Member 1 Aug 2016 25% - 50% foreign

Based in Princeton

The principal office where Kb Financial Partners, LLC performs its advisory services is located at 300 Carnegie Center #240, Princeton, NJ 08540, which is also the mailing address of the firm. An additional office of the firm is in Point Pleasant Beach, NJ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 609-514-4700 or by fax 609-514-4725. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at kbfinancialpartners.com.