# EDGAR Filing Document

**Accession Number:** 0001407215
**File Stem:** 0001407215-23-000002
**Filing Date:** 2023-3
**Character Count:** 13109
**Document Hash:** 5733eeb9a9495747976f9f46df2c6ad6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001407215-23-000002.hdr.sgml**: 20230407

**ACCESSION NUMBER**: 0001407215-23-000002

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230331

**DATE AS OF CHANGE**: 20230407

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** KIPLING JONES & CO., LTD.
- **CENTRAL INDEX KEY:** 0001407215
- **IRS NUMBER:** 651191761
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01880
- **FILM NUMBER:** 23808080

**BUSINESS ADDRESS:**
- **STREET 1:** 440 LOUISIANA STREET
- **STREET 2:** STE. 900
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77002
- **BUSINESS PHONE:** 917-783-6823

**MAIL ADDRESS:**
- **STREET 1:** 440 LOUISIANA STREET
- **STREET 2:** STE. 900
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77002

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001407215

**Filer CCC:** XXXXXXXX

**Contact Name:** Robbi J. Jones

**Contact Phone:** 713-353-4688

**Contact Email:** rjones@kiplingjones.com

**Notification Emails:** rjones@kiplingjones.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** KIPLING JONES & CO., LTD.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 144730

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 65-1191761

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00700-00

- **Municipal Advisor:** SEC File No: 867-01880

- **Other:** Description: Texas, ID: 37495

**E. Principal Office and Place of Business:** 440 LOUISIANA STREET, STE. 900, HOUSTON, TX, 77002

**Telephone Number:** 713-353-4688

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.kiplingjones.com

**G. Chief Compliance Officer (CCO):**

**Name:** Robbi Julene Jones

**Address:** 440 Louisiana Street, Suite 900, Houston, TX, 77002

**Phone Number:** 713-353-4688

**Email:** rjones@kiplingjones.com

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Partnership (LP)

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** TX

**D. Date of Organization:** 05-28-2003

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 1

**B. Municipal Advisory Activities - Employees:** 1

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 0

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 2

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice On Selection

### Item 5: Other Business Activities

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** 

**Total Associated Persons:** 0

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** Yes

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** Yes

- **Foreign Authority Disciplined?:** Yes

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** Yes

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                         | Title/Status          | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| JonesCap, LLC                | General Partner       | 05-28-2003      | NA - less than 5%         | Yes               | 65-1191756   |  |
| RJJ Holdings, LLC            | Limited Partner       | 12-28-2006      | D - 50% but less than 75% | Yes               | 26-0238505   |  |
| Line Street Holdings, LLC    | Limited Partner       | 06-30-2007      | C - 25% but less than 50% | No                | 42-1782086   |  |
| GStorrs Jones, LLC           | Limited Partner       | 10-30-2006      | NA - less than 5%         | No                | 42-0924855   |  |
| Smith Family Revocable Trust | Limited Partner       | 06-30-2007      | NA - less than 5%         | No                | 48-8648120   |  |
| Robbi Julene Jones           | CFO, FINOP, Preside t | 12-18-2007      | D - 50% but less than 75% | Yes               |  | 1797418      |

### Schedule B: Indirect Owners

| Owning Entity             | Name               | Title/Status    | Date Acquired   | Ownership Code   | Control Person?   |
|:---|:---|:---|:---|:---|:---|
| JonesCap, LLC             | Robbi Julene Jones | General Partner | 05-28-2003      | E - 75% or more  | Yes               |
| RJJ Holdings, LLC         | Robbi Julene Jones | Limited Partner | 01-29-2006      | E - 75% or more  | Yes               |
| Line Street Holdings, LLC | Sam NMN Kelly      | Limited Partner | 11-27-2006      | E - 75% or more  | Yes               |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity             | Name                         | Title/Status          | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | JonesCap, LLC                | General Partner       | 05-28-2003      | NA - less than 5%         | Yes               | 65-1191756   |  |
|  | Direct      |  | RJJ Holdings, LLC            | Limited Partner       | 12-28-2006      | D - 50% but less than 75% | Yes               | 26-0238505   |  |
|  | Direct      |  | Line Street Holdings, LLC    | Limited Partner       | 06-30-2007      | C - 25% but less than 50% | No                | 42-1782086   |  |
|  | Direct      |  | GStorrs Jones, LLC           | Limited Partner       | 10-30-2006      | NA - less than 5%         | No                | 42-0924855   |  |
|  | Direct      |  | Smith Family Revocable Trust | Limited Partner       | 06-30-2007      | NA - less than 5%         | No                | 48-8648120   |  |
|  | Direct      |  | Robbi Julene Jones           | CFO, FINOP, Preside t | 12-18-2007      | D - 50% but less than 75% | Yes               |  | 1797418      |
|  | Indirect    | JonesCap, LLC             | Robbi Julene Jones           | General Partner       | 05-28-2003      | E - 75% or more           | Yes               |  | 1797418      |
|  | Indirect    | RJJ Holdings, LLC         | Robbi Julene Jones           | Limited Partner       | 01-29-2006      | E - 75% or more           | Yes               |  | 1797418      |
|  | Indirect    | Line Street Holdings, LLC | Sam NMN Kelly                | Limited Partner       | 11-27-2006      | E - 75% or more           | Yes               |  | 000000000    |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Kipling Jones & Co., Ltd.

- **CRD Number:** 144730

- **Disclosure Number:** 1677951

**Regulatory DRP for: Applicant (Responding to Questions: 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Kipling Jones & Co., Ltd.

- **CRD Number:** 144730

- **Disclosure Number:** 1677828

**Regulatory DRP for: Applicant (Responding to Questions: 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Kipling Jones & Co., Ltd.

- **CRD Number:** 144730

- **Disclosure Number:** 1653549

**Regulatory DRP for: Applicant (Responding to Questions: 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Kipling Jones & Co., Ltd.

- **CRD Number:** 144730

- **Disclosure Number:** 1652784

**Regulatory DRP for: Applicant (Responding to Questions: 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Kipling Jones & Co., Ltd.

- **CRD Number:** 144730

- **Disclosure Number:** 1511093

**Regulatory DRP for: Applicant (Responding to Questions: 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Kipling Jones & Co., Ltd.

- **CRD Number:** 144730

- **Disclosure Number:** 1771318

**Regulatory DRP for: Applicant (Responding to Questions: 9-E4, 9-G)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

**Regulatory DRP for: Applicant and Associated Person (Responding to Questions: 9-E1, 9-E2, 9-E3, 9-E4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for —

- **CRD Number:** —

- **Disclosure Number:** —

  - **Associated Person:** Robbi Julene Jones

  - **CRD Number:** 1797418

### Execution Page

**Signature:** Robbi J. Jones

**Signer Name:** Robbi J. Jones

**Title:** President

**Date:** 03-31-2023