# EDGAR Filing Document

**Accession Number:** 0001615383
**File Stem:** 0001615383-25-000010
**Filing Date:** 2025-12
**Character Count:** 10216
**Document Hash:** 81efdd5a8f2b0d0b0238e6b77f21810f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001615383-25-000010.hdr.sgml**: 20260108

**ACCESSION NUMBER**: 0001615383-25-000010

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20251222

**DATE AS OF CHANGE**: 20260108

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Knight & Day Group, LLC
- **CENTRAL INDEX KEY:** 0001615383

**ORGANIZATION NAME:**
- **EIN:** 264023956
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00431
- **FILM NUMBER:** 26518300

**BUSINESS ADDRESS:**
- **STREET 1:** 8303 SOUTHWEST FREEWAY
- **STREET 2:** SUITE 218
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77074
- **BUSINESS PHONE:** 7137781707

**MAIL ADDRESS:**
- **STREET 1:** 8303 SOUTHWEST FREEWAY
- **STREET 2:** SUITE 218
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77074

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** TKG & ASSOCIATES LLC
- **DATE OF NAME CHANGE:** 20140731

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

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0001615383

**Filer CCC:** XXXXXXXX

**Contact Name:** Ted Vogtman

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

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

**Notification Emails:** info@tkgadvisors.net, tvogtman@alternativereg.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** Knight & Day Group, LLC

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

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** Yes

**B. Doing-Business-As (DBA) Name:** TKG & ASSOCIATES LLC

**&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:** 33-3590655

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00049-00

- **Municipal Advisor:** SEC File No: 867-00431

**E. Principal Office and Place of Business:** 8303 Southwest Freeway, Suite 218, HOUSTON, TX, 77074

**Telephone Number:** 713-778-1707

**Additional Offices of Employment:**

- **Office #1 (Add):** 325 North St Paul, Ste 2750A, Dallas, TX, 75201 | Phone: 214-981-9009

- **Office #2 (Add):** 5228 S. Blackstone Ave. Ste LLV, Chicago, IL, 606015 | Phone: 312-329-8100

- **Office #3 (Add):** 1390 Market Street, Ste 200, San Francisco, CA, 94102 | Phone: 415-538-8480

- **Office #4 (Add):** 401 N. Pine Street, Suite 207, St. Louis, MO, 63102 | Phone: 713-778-1707

- **Office #5 (Add):**  | Phone: 769-666-4543

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

**F. Website:** knightdaygroup.net

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

**Name:** Charlotte Andrena Knight-Marshall

**Titles:** Principal

**Address:** 8303 Southwest Freeway, Suite 218, HOUSTON, TX, 77074

**Phone Number:** 713-778-1707

**Email:** charlotte.knightmarshall@knightdaygroup.net

**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:** NV

**D. Date of Organization:** 12-12-2008

**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:** 7

**B. Municipal Advisory Activities - Employees:** 6

**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:** 20

**&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?:** Yes

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice ME Investments, Advice Guaranteed IC, 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:** Other municipal advisor, Other municipal advisor

**Total Associated Persons:** 1

### 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?:** 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?:** 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?   |   CRD Number |
|:---|:---|:---|:---|:---|---:|
| CHARLOTTE ANDRENA KNIGHT-MARSHALL | PRINCIPAL                | 12-12-2008      | E - 75% or more           | Yes               |    000000000 |
| Kimberly Marie McManus            | Chief Compliance Officer | 10-04-2022      | NA - less than 5%         | No                |      2322081 |
| Larry Lemaris Day II              | Owner                    | 10-01-2024      | C - 25% but less than 50% | Yes               |    000000000 |

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

| Type   | Ownership   | Owning Entity   | Name                              | Title/Status                           | Date Acquired   | Ownership Code            | Control Person?   |   CRD Number |
|:---|:---|:---|:---|:---|:---|:---|:---|---:|
| Amend  | Direct      |  | CHARLOTTE ANDRENA KNIGHT-MARSHALL | Principal and Chief Compliance Officer | 12-12-2008      | E - 75% or more           | Yes               |    000000000 |
| Delete | Direct      |  | Kimberly Marie McManus            | Chief Compliance Officer               | 10-04-2022      | NA - less than 5%         | No                |      2322081 |
|  | Direct      |  | Larry Lemaris Day II              | Owner                                  | 10-01-2024      | C - 25% but less than 50% | Yes               |    000000000 |

### Execution Page

**Signature:** Charlotte Knight-Marshall

**Signer Name:** Charlotte Knight-Marshall

**Title:** Principal and Chief Compliance Officer

**Date:** 12-22-2025