Von Kohorn Research & Advisory, Inc.
- Regulatory AUM
- $1.5M
- Discretionary
- $1.5M
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 5
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | $652K | 43.6% |
| High net worth individuals | Fewer than 5 clients | $842K | 56.4% |
Private funds (3)
Reported in Form ADV Section 7.B.(1), filing of May 2012 · $29.0M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Vk Fund Investors Lp | Hedge Fund | Connecticut | $18.4M | 27 |
| Vk Equity Lp | Hedge Fund | Connecticut | $5.3M | 10 |
| Vk Commodity Investors Lp | Hedge Fund | Delaware | $5.2M | 12 |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kenneth Von Kohorn | Director/Shareholder/President | Feb 2006 (21y) | 75% or more | |
| Rockley, Pamela, Louise | Chief Compliance Officer | Jan 2008 (19y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (3, $29.0M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Vk Fund Investors Lp | Hedge Fund | $18.4M | $300K | 27 |
| Vk Equity Lp | Hedge Fund | $5.3M | $300K | 10 |
| Vk Commodity Investors Lp | Hedge Fund | $5.2M | $300K | 12 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/23/2026 | 1.41 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: VON KOHORN PAID HIS FATHER, HENRY VON KOHORN SR., FOR MAKING CLIENT REFERRALS WHILE HENRY VON KOHORN SR. WAS NOT REGISTERED WITH THE STATE AS AN INVESTMENT ADVISOR REPRESENTATIVE. Status: Final Sanction Detail: TOTAL OF $5,630 WAS PAID TO CONNECTICUT BANKING DEPARTMENT IN MAY 1998. Summary: MY FIRM HIRED THE LAW FIRM OF COHEN & WOLF, BRIDGEPORT, CT, TO PERFORM THE REQUIRED REVIEW AND TO ENSURE COMPLIANCE WITH THE CONSENT ORDER AND WITH THE APPLICABLE REGULATIONS. COHEN & WOLF COMPLETED ITS EXAMINATION AND SUBMITTED ITS WRITTEN REPORT PRIOR TO JULY 31, 1998, AS REQUIRED.
Allegations: MR. VON KOHORN ACTED AS AN INVESTMENT ADVISER IN THE STATE OF CONNECTICUT IN 2004 AND 2005 WITHOUT BEING REGISTERED IN THE STATE AND OFFERED AND SOLD LIMITED PARTNERSHIP INTERESTS WITHOUT FILING REGISTRATION EXEMPTION NOTICES Status: Final Sanction Detail: FINE OF $35,000 PAID OCTOBER 23, 2007. PERMANENT INJUNCTION FROM VIOLATING THE CT UNIFORM SECURITIES ACT AND REGULATIONS THEREUNDER AND PREVIOUS CONSENT ORDERS; FOR A PERIOD OF 6 YEARS, VON KOHORN WILL NOT DESTROY ANY DOCUMENT RELATING TO HIS BUSINESS FROM 2004 TO 2005; APPOINTMENT OF A CHIEF COMPLIANCE OFFICER. Summary: PLS SEE 12.B
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Interactive Brokers $1.5M (100% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 23, 2026.
View current Form ADV (SEC/IAPD) ↗