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Former SEC-registered adviser

M•••••• J• C•••• I••••••••• A••••••

Former SEC-registered adviserFalmouth, MassachusettsCRD 104877SEC 801-19835IAPD
Legal name C••• M•••••• J•••
Latest filing Mar 28, 2023
First filing on the tape Jan 18, 2012 · 16 filings
RAUM
$144M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$144M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$144M as of Mar 28, 2023
Jan 18, 2012$155M then
HNW client RAUM$122M as of Mar 28, 2023
Jan 26, 2018$158M then
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Jan 18, 20120 then
Employees (5.A)3 as of Mar 28, 2023
Jan 24, 20134 then
Private funds: no history
RAUM -6.6% over the last fiscal year-8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
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
$1.3MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, 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
-6.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-0.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$122M85%
  • Individuals$21.3M15%
Individual clients
43reported
HNW clients
95reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
138reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
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
    • C•••• M••••••• J••• · Presidentcontrol
      since 03/1981 · owns 75% or more
    • T•••••••• N••••• T••••• · Chief Compliance Officer
      since 06/2002 · owns less than 5%
    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 · 139 to 138
      Feb 4, 2022 to Mar 28, 2023
    • Individual clients · 44 to 43
      Feb 4, 2022 to Mar 28, 2023
    • Discretionary RAUM · $154M to $0
      Feb 4, 2022 to Mar 28, 2023
    • HNW RAUM · $131M to $122M
      Feb 4, 2022 to Mar 28, 2023
    • Individual RAUM · $23.4M to $21.3M
      Feb 4, 2022 to Mar 28, 2023
    • Non-discretionary RAUM · $0 to $144M
      Feb 4, 2022 to Mar 28, 2023
    • RAUM · $154M to $144M
      Feb 4, 2022 to Mar 28, 2023
    • Discretionary RAUM · $166M to $154M
      Jan 29, 2021 to Feb 4, 2022
    • HNW RAUM · $144M to $131M
      Jan 29, 2021 to Feb 4, 2022
    • Individual RAUM · $21.9M to $23.4M
      Jan 29, 2021 to Feb 4, 2022
    • RAUM · $166M to $154M
      Jan 29, 2021 to Feb 4, 2022
    • Accounts · 106 to 139
      May 7, 2020 to Jan 29, 2021
    • HNW clients · 59 to 95
      May 7, 2020 to Jan 29, 2021
    • Individual clients · 47 to 44
      May 7, 2020 to Jan 29, 2021
    • Discretionary RAUM · $188M to $166M
      May 7, 2020 to Jan 29, 2021
    • HNW RAUM · $164M to $144M
      May 7, 2020 to Jan 29, 2021
    • Individual RAUM · $24.0M to $21.9M
      May 7, 2020 to Jan 29, 2021
    • RAUM · $188M to $166M
      May 7, 2020 to Jan 29, 2021
    • Accounts · 109 to 106
      Jan 15, 2019 to Jan 21, 2020
    • Individual clients · 50 to 47
      Jan 15, 2019 to Jan 21, 2020
    • Other offices · 1 to 0
      Jan 15, 2019 to Jan 21, 2020
    • Discretionary RAUM · $173M to $188M
      Jan 15, 2019 to Jan 21, 2020
    • HNW RAUM · $152M to $164M
      Jan 15, 2019 to Jan 21, 2020
    • Individual RAUM · $21.6M to $24.0M
      Jan 15, 2019 to Jan 21, 2020
    • RAUM · $173M to $188M
      Jan 15, 2019 to Jan 21, 2020
    • Individual clients · 56 to 50
      Jan 26, 2018 to Jan 15, 2019
    • Discretionary RAUM · $182M to $173M
      Jan 26, 2018 to Jan 15, 2019
    • HNW RAUM · $158M to $152M
      Jan 26, 2018 to Jan 15, 2019
    • Individual RAUM · $23.8M to $21.6M
      Jan 26, 2018 to Jan 15, 2019
    • RAUM · $182M to $173M
      Jan 26, 2018 to Jan 15, 2019
    • Accounts · 115 to 109
      Oct 12, 2017 to Jan 26, 2018
    • Discretionary RAUM · $190M to $182M
      Oct 12, 2017 to Jan 26, 2018
    • HNW RAUM · $164M to $158M
      Oct 12, 2017 to Jan 26, 2018
    • Individual RAUM · $26.5M to $23.8M
      Oct 12, 2017 to Jan 26, 2018
    • RAUM · $190M to $182M
      Oct 12, 2017 to Jan 26, 2018
    • Accounts · 108 to 115
      Jul 18, 2017 to Oct 12, 2017
    • Charity clients · unset to 0.0
      Jul 18, 2017 to Oct 12, 2017
    • Corporate clients · unset to 0.0
      Jul 18, 2017 to Oct 12, 2017
    • HNW clients · unset to 59.0
      Jul 18, 2017 to Oct 12, 2017
    • Individual clients · unset to 56.0
      Jul 18, 2017 to Oct 12, 2017
    Signals
    1 dated events
    • M•••••• J••• C••• left M•••••• J• C•••• I••••••••• A•••••• for F••• P••• C••••••• L•• (registered 2023-03-07)
      May 1, 2023 · a•••••• firm change · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda 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