# EDGAR Filing Document

**Accession Number:** 0001664477
**File Stem:** 0001664477-25-000009
**Filing Date:** 2025-9
**Character Count:** 12218
**Document Hash:** 30dc52b9bb1b044489c128c33b468932
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001664477-25-000009.hdr.sgml**: 20250912

**ACCESSION NUMBER**: 0001664477-25-000009

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250902

**DATE AS OF CHANGE**: 20250912

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** KNN PUBLIC FINANCE, LLC
- **CENTRAL INDEX KEY:** 0001664477

**ORGANIZATION NAME:**
- **EIN:** 810958321
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01996
- **FILM NUMBER:** 251310210

**BUSINESS ADDRESS:**
- **STREET 1:** 2001 ADDISON STREET
- **STREET 2:** SUITE 100
- **CITY:** BERKELEY
- **STATE:** CA
- **ZIP:** 94704
- **BUSINESS PHONE:** 510-839-8200

**MAIL ADDRESS:**
- **STREET 1:** 2001 ADDISON STREET
- **STREET 2:** SUITE 100
- **CITY:** BERKELEY
- **STATE:** CA
- **ZIP:** 94704

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** KPF CO LLC
- **DATE OF NAME CHANGE:** 20160121

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

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001664477

**Filer CCC:** XXXXXXXX

**Contact Name:** Ted Vogtman

**Contact Phone:** 973-618-9509

**Contact Email:** tvogtman@alternativereg.com

**Notification Emails:** Dleifer@knninc.com, tvogtman@alternativereg.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** KNN PUBLIC FINANCE, LLC

**&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:** 81-0958321

**D. Registrations:**

- **Municipal Advisor:** SEC File No: 867-01996

**E. Principal Office and Place of Business:** 2001 Addison Street, Suite 100, Berkeley, CA, 94704

**Telephone Number:** 510-839-8200

**Additional Offices of Employment:**

- **Office #1 (Add):** 5901 W. Century Blvd, Suite 750, Los Angeles, CA, 90045 | Phone: 310-348-2901

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

**F. Website:** www.knninc.com

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

**Name:** Kimberly Marie McManus

**Titles:** President, Alternative Regulatory Solutions, LLC

**Address:** 101 Eisenhower Parkway, Suite 107, Roseland, NJ, 07068

**Phone Number:** 973-618-9500

**Email:** kmcmanus@alternativereg.com

**I. Location of Books and Records:** Yes

### Item 2: Form of Organization

**A. Applicant's form of organization:** Limited Liability Company (LLC)

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

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

**D. Date of Organization:** 12-21-2015

**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:** 15

**B. Municipal Advisory Activities - Employees:** 15

**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:** 160

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations, 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 Investment Of Proceeds MS, Advice ME Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection, Other

### Item 5: Other Business Activities

**Is applicant engaged in any other non-municipal advisor business?** Yes

### 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?:** Yes

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** No

- **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?:** Yes

- **SEC/CFTC Found Violation?:** Yes

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

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** Yes

- **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?:** No

- **Foreign Authority Found Violation?:** No

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **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   |
|:---|:---|:---|:---|:---|:---|:---|
| David Leifer Living Trust | owner             | 12-01-2021      | C - 25% but less than 50% | Yes               |  |  |
| JoAnn Ernst Bowes         | Managing Director | 02-19-2016      | B - 10% but less than 25% | Yes               |  | 000000000    |
| Blake Jason Boehm         | Director          | 02-19-2016      | B - 10% but less than 25% | Yes               |  | 000000000    |
| David Alan Brodsly        | Managing Director | 02-19-2016      | B - 10% but less than 25% | Yes               |  | 000000000    |
| Bobby Jan Wai Cheung      | Director          | 02-19-2016      | A - 5% but less than 10%  | Yes               |  | 000000000    |
| Mark Thomas Young         | Managing Director | 02-19-2016      | B - 10% but less than 25% | Yes               |  | 000000000    |
| Kimberly Marie McManus    | CCO               | 06-03-2016      | NA - less than 5%         | No                |  | 2322081      |
| Melissa Ann Shick         | Director          | 12-01-2021      | A - 5% but less than 10%  | Yes               |  | 000000000    |

### Schedule B: Indirect Owners

| Owning Entity             | Name               | Title/Status   | Date Acquired   | Ownership Code                                          | Control Person?   |
|:---|:---|:---|:---|:---|:---|
| David Leifer Living Trust | David Carey Leifer | Trustee        | 12-01-2021      | F - Other (general partner, trustee, or elected member) | 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      |  | David Leifer Living Trust | owner             | 12-01-2021      | C - 25% but less than 50%                               | Yes               |  |  |
|  | Direct      |  | JoAnn Ernst Bowes         | Managing Director | 02-19-2016      | B - 10% but less than 25%                               | Yes               |  | 000000000    |
|  | Direct      |  | Blake Jason Boehm         | Director          | 02-19-2016      | B - 10% but less than 25%                               | Yes               |  | 000000000    |
|  | Direct      |  | David Alan Brodsly        | Managing Director | 02-19-2016      | B - 10% but less than 25%                               | Yes               |  | 000000000    |
|  | Direct      |  | Bobby Jan Wai Cheung      | Director          | 02-19-2016      | A - 5% but less than 10%                                | Yes               |  | 000000000    |
|  | Direct      |  | Mark Thomas Young         | Managing Director | 02-19-2016      | B - 10% but less than 25%                               | Yes               |  | 000000000    |
|  | Direct      |  | Kimberly Marie McManus    | CCO               | 06-03-2016      | NA - less than 5%                                       | No                |  | 2322081      |
|  | Direct      |  | Melissa Ann Shick         | Director          | 12-01-2021      | A - 5% but less than 10%                                | Yes               |  | 000000000    |
|  | Indirect    | David Leifer Living Trust | David Carey Leifer        | Trustee           | 12-01-2021      | F - Other (general partner, trustee, or elected member) | Yes               |  | 4457537      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-C1, 9-C2, 9-C4, 9-C5)**

  - **Associated Person:** David Carey Leifer

  - **CRD Number:** 4457537

  - **Filed On (AP):** Form ADV/BD/U4 for David Leifer

  - **Disclosure Number:** 1046680

### Execution Page

**Signature:** David Leifer

**Signer Name:** David Leifer

**Title:** Senior Managing Director

**Date:** 09-02-2025

**CRD Number:** 4457537