# VON Kohorn Research & Advisory, Inc.

> 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.

- CRD: 139516
- Filed as: VON KOHORN RESEARCH & ADVISORY, INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Norwalk, CT
- Filing period: October 2026
- Form ADV filing dated: June 23, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/139516
- AdvisorCensus page: https://advisorcensus.com/firm/von-kohorn-research-and-advisory-inc-norwalk-ct-139516

## Quick answers

**How is VON Kohorn Research & Advisory, Inc. compensated?**
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.

**Where is VON Kohorn Research & Advisory, Inc. located?**
VON Kohorn Research & Advisory, Inc.'s principal office is in Norwalk, CT, according to its Form ADV.

**Is VON Kohorn Research & Advisory, Inc. registered with the SEC or a state?**
VON Kohorn Research & Advisory, Inc. is a state-registered investment advisory firm, registered since 2019. Status as filed: APPROVED. CRD 139516.

**How much does VON Kohorn Research & Advisory, Inc. manage?**
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).

**Does VON Kohorn Research & Advisory, Inc. report any disciplinary disclosures?**
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

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $1,494,011
- Discretionary: $1,494,011
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $651,837 |
| High net worth individuals | Fewer than 5 | $842,174 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2019 (7 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CT
- Disclosures (Item 11): Reports 10 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): 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?
- 11.C(3): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.D(2): 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?
- 11.D(3): 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?
- 11.D(4): 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?
- 11.D(5): 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?
- 11.H(1)(b): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/139516

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. VON Kohorn Research & Advisory, Inc. (CRD 139516): Form ADV filing data as of October 2026.