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No RAUM reportedSEC-registered· Manhasset, New York

No RAUM reported, based in Manhasset, New York.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
Not established
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
Not established
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 104714 · SEC 801-20177 · 21 filingsShow
CRD 104714SEC 801-20177First filing on the tape Jan 27, 2012, latest Mar 14, 2026SEC status approved since Jan 25, 1984IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$0 as of Mar 14, 2026
Mar 4, 2025$0 then
HNW client RAUM$0 as of Mar 14, 2026
Mar 21, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 14, 2026
Jan 27, 20120 then
Employees (5.A)6 as of Mar 14, 2026
Feb 5, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2026; every figure names its basis
Archetypes, each a printed rule
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
pension consulting, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
38reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••••• H•••••• P••••••• · Secretarycontrol
        since 12/2014 · owns 5% to 10%
      • L••••••••• M•••• W•••••• · Chairman, President And Chief Compliance Officercontrol
        since 10/2016 · owns 75% or more
      • M••••• T•••••• A••••• · Vice Presidentcontrol
        since 01/2009 · owns 5% to 10%
      • L••••••••• A••••••• B••••••••• · Shareholder
        since 02/1981 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Sep 3, 2024 to Mar 4, 2025
      • Pension plan clients · 39 to 38
        Sep 3, 2024 to Mar 4, 2025
      • Financial planning clients · unset to
        Sep 3, 2024 to Mar 4, 2025
      • Discretionary RAUM · unset to 0.0
        Sep 3, 2024 to Mar 4, 2025
      • Non-discretionary RAUM · unset to 0.0
        Sep 3, 2024 to Mar 4, 2025
      • RAUM · unset to 0.0
        Sep 3, 2024 to Mar 4, 2025
      • Pension plan clients · 37 to 39
        Mar 1, 2023 to Mar 22, 2024
      • Advisory employees · 5 to 6
        Feb 12, 2021 to Mar 21, 2022
      • Employees · 5 to 6
        Feb 12, 2021 to Mar 21, 2022
      • Pension plan clients · 39 to 37
        Aug 24, 2020 to Feb 12, 2021
      • Pension plan clients · 38 to 39
        Mar 3, 2020 to Aug 24, 2020
      • Pension plan clients · 37 to 38
        Feb 4, 2019 to Mar 3, 2020
      • Employees · 6 to 5
        Feb 4, 2019 to Mar 3, 2020
      • Pension plan clients · 36 to 37
        Mar 21, 2018 to Feb 4, 2019
      • Advisory employees · 4 to 5
        Feb 7, 2017 to Mar 21, 2018
      • Charity clients · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • Corporate clients · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • HNW clients · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • Individual clients · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • Pension plan clients · unset to 36.0
        Feb 7, 2017 to Mar 21, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • Employees · 5 to 6
        Feb 7, 2017 to Mar 21, 2018
      • Other offices · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • HNW RAUM · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • Individual RAUM · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • Pension RAUM · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Feb 7, 2017 to Mar 21, 2018
      • Advisory employees · 5 to 4
        Feb 29, 2016 to Feb 7, 2017
      • Employees · 6 to 5
        Feb 29, 2016 to Feb 7, 2017
      • Advisory employees · unset to 5.0
        Aug 20, 2012 to Feb 5, 2013
      • Employees · unset to 6.0
        Aug 20, 2012 to Feb 5, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 14, 2026
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      No RAUM reportedderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026