{
  "crd_number": 139516,
  "slug": "von-kohorn-research-and-advisory-inc-norwalk-ct-139516",
  "primary_business_name": "VON KOHORN RESEARCH & ADVISORY, INC.",
  "legal_name": "VON KOHORN RESEARCH & ADVISORY, INC.",
  "dbas": [],
  "city": "Norwalk",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2019-01-10",
  "years_registered": 7,
  "period": "2026-10-01",
  "filing_date": "2026-06-23",
  "carried_forward": false,
  "raum_total": 1494011.0,
  "raum_discretionary": 1494011.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "under_25m",
  "raum_band_label": "Under $25 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "individuals": {
      "raum": 651837.0,
      "count": null,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 842174.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 10,
  "states_registered": [
    "CT"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139516",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(3)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(3)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    }
  ],
  "city_as_filed": "NORWALK",
  "url": "https://advisorcensus.com/firm/von-kohorn-research-and-advisory-inc-norwalk-ct-139516",
  "display_name": "VON Kohorn Research & Advisory, Inc.",
  "summary": "VON Kohorn Research & Advisory, Inc. is a state-registered investment advisory firm in Norwalk, CT, registered since 2019, reporting under $25 million in regulatory assets under management in its Form ADV filing dated June 23, 2026.",
  "citation": "AdvisorCensus. VON Kohorn Research & Advisory, Inc. (CRD 139516): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is VON Kohorn Research & Advisory, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), VON Kohorn Research & Advisory, Inc. reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is VON Kohorn Research & Advisory, Inc. located?",
      "a": "VON Kohorn Research & Advisory, Inc.'s principal office is in Norwalk, CT, according to its Form ADV."
    },
    {
      "q": "Is VON Kohorn Research & Advisory, Inc. registered with the SEC or a state?",
      "a": "VON Kohorn Research & Advisory, Inc. is a state-registered investment advisory firm, registered since 2019. Status as filed: APPROVED. CRD 139516."
    },
    {
      "q": "How much does VON Kohorn Research & Advisory, Inc. manage?",
      "a": "VON Kohorn Research & Advisory, Inc. reports $1,494,011 in regulatory assets under management in its Form ADV filing dated June 23, 2026 (100% discretionary)."
    },
    {
      "q": "Does VON Kohorn Research & Advisory, Inc. report any disciplinary disclosures?",
      "a": "Reports 10 disclosure items on Form ADV Item 11: yes answers to 9 questions about regulatory matters and 1 question about civil court matters (11.C(1), 11.C(2), 11.C(3), 11.C(4), 11.C(5), 11.D(2), 11.D(3), 11.D(4), 11.D(5), 11.H(1)(b)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/139516"
    }
  ],
  "filing_history": [],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/von-kohorn-research-and-advisory-inc-norwalk-ct-139516.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": null,
      "fewer_than_5": true,
      "raum": 651837.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": null,
      "fewer_than_5": true,
      "raum": 842174.0
    }
  ],
  "disclosure_line": "Reports 10 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139516",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}