ADV disclosures

Klingenstein Fields CRS changed; 211 daily firm filing observations

Klingenstein Fields Advisors’ client relationship summary text changed in an observation within a three-day period that included 211 daily firm filing observations from October 30 to November 1, 2026.

By Maya Chen·Edition ·1 min read

Klingenstein Fields Advisors had a client relationship summary text change in a filing observation dated October 31, 2026. The observed text includes a statement that KF Group, formerly a related adviser under common control, was consolidated into KF&Co. effective October 1, 2026, and ceased operating as a separate investment adviser.

Across October 30 to November 1, 2026, the observation count was 211 daily firm filing observations. The dates are observation dates, not submission or processing dates. Part 1, Part 2 brochure and client relationship summary categories can overlap, and an observed category does not by itself establish a substantive document change.

The category counts were 211 ADV Part 1 filing observations, 107 Part 2 brochure observations and 87 client relationship summary observations. The daily count was 203 firm filing observations on October 30 and 8 on October 31.

ADV filing observations

The appendix lists all 211 daily firm filing observations from 10/30/2026 through 11/01/2026. An observation can include multiple document categories and does not by itself prove a substantive document change.

Showing rows 126–150 of 211. The CSV contains the complete table.

FirmFirm CRDObservedDocuments filed
Moneco Advisors17192210/30/2026Part 1; Form CRS
Moon Equities Management LLC34117610/30/2026Part 1
Mora Capital Management, LLC11222110/30/2026Part 1; Part 2 brochure
Morningstar Investment Management LLC10803110/30/2026Part 1; Part 2 brochure; Form CRS
Neptune Wealth32916010/30/2026Part 1; Part 2 brochure
Neumeier Poma Investment Counsel LLC11067210/30/2026Part 1; Form CRS
Newedge Advisors17135110/30/2026Part 1
Next UP Wealth Advisors, LLC34213610/30/2026Part 1
Neyrey, Rene' J.12657810/31/2026Part 1; Part 2 brochure
Northwest Financial Advisors LLC16676910/30/2026Part 1; Form CRS
O'ROURKE & Company, Incorporated13248110/30/2026Part 1; Form CRS
Oak Springs Wealth Management, LLC16433210/30/2026Part 1
Oew Investment Advisors LP33837510/30/2026Part 1
Oswego Private Wealth Management31717410/30/2026Part 1; Part 2 brochure
Pacific Sage Partners, LLC31566310/30/2026Part 1; Form CRS
Park Avenue Securities LLC4617310/30/2026Part 1; Part 2 brochure; Form CRS
Parker Financial Planning, Llc.14741310/30/2026Part 1; Part 2 brochure
Parsonex Advisory Services, Inc.16027510/30/2026Part 1; Form CRS
Pelican Advisory LLC33065810/30/2026Part 1; Part 2 brochure; Form CRS
Plan & Act14845310/31/2026Part 1; Part 2 brochure
PLAN2THRIVE Financial31700510/30/2026Part 1
Pomerium Capital Management, LLC34041910/30/2026Part 1
Ponderato Capital Management LLC34488810/30/2026Part 1
Private Advisory17004310/30/2026Part 1; Form CRS
Process Capital Management, LLC34386210/30/2026Part 1; Part 2 brochure

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