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B••••• • R••• I••

Former SEC-registered adviserFormer SEC adviser· Reno, Nevada

Former SEC-registered adviser, based in Reno, Nevada, reporting $229M of regulatory assets.

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

Last reported RAUM
$229M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-0.9%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 6 Form ADV filings for this adviser, the latest 10.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 104956 · SEC 801-33631 · 6 filingsShow
CRD 104956SEC 801-33631First filing on the tape Mar 8, 2012, latest Mar 25, 2016IAPD
RAUM
$229M
reported, Item 5.F
Discretionary
30%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$229M as of Mar 25, 2016
Mar 8, 2012$58.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 25, 2016
Mar 8, 20120 then
Employees (5.A)7 as of Mar 25, 2016
Mar 6, 20137 then
Private funds: no history
RAUM -0.9% over the last fiscal year+46% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 25, 2016; every figure names its basis
RAUM per advisor
$38.2MderivedRAUM 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
$5.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
30%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
45reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
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
      • R•••• P••••• J•••• · Managing Partner/Chief Compliance Officercontrol
        since 01/1989 · owns 50% to 75%
      • B•••••• A•••••• · Partner
        since 04/2004 · owns 10% to 25%
      • F••••••• M••••••• J•••• · Partner
        since 04/2004 · owns 10% to 25%
      • O•••••• T••••••• · Investor
        since 01/1992 · 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 · 49 to 45
        Mar 2, 2015 to Mar 25, 2016
      • Discretionary RAUM · $68.6M to $68.7M
        Mar 2, 2015 to Mar 25, 2016
      • Non-discretionary RAUM · $162M to $160M
        Mar 2, 2015 to Mar 25, 2016
      • RAUM · $231M to $229M
        Mar 2, 2015 to Mar 25, 2016
      • Accounts · 37 to 49
        Mar 12, 2014 to Mar 2, 2015
      • Discretionary RAUM · $50.8M to $68.6M
        Mar 12, 2014 to Mar 2, 2015
      • Non-discretionary RAUM · $156M to $162M
        Mar 12, 2014 to Mar 2, 2015
      • RAUM · $207M to $231M
        Mar 12, 2014 to Mar 2, 2015
      • Accounts · 25 to 37
        Mar 6, 2013 to Mar 12, 2014
      • Advisory activities · 6 to 5
        Mar 6, 2013 to Mar 12, 2014
      • State-registered IARs · 5 to 6
        Mar 6, 2013 to Mar 12, 2014
      • Discretionary RAUM · $35.9M to $50.8M
        Mar 6, 2013 to Mar 12, 2014
      • Non-discretionary RAUM · $36.9M to $156M
        Mar 6, 2013 to Mar 12, 2014
      • RAUM · $72.8M to $207M
        Mar 6, 2013 to Mar 12, 2014
      • Accounts · 18 to 25
        Apr 18, 2012 to Mar 6, 2013
      • Advisory employees · unset to 7.0
        Apr 18, 2012 to Mar 6, 2013
      • Advisory activities · 5 to 6
        Apr 18, 2012 to Mar 6, 2013
      • Employees · unset to 7.0
        Apr 18, 2012 to Mar 6, 2013
      • Financial planning clients · 0 to unset
        Apr 18, 2012 to Mar 6, 2013
      • State-registered IARs · 0 to 5
        Apr 18, 2012 to Mar 6, 2013
      • Discretionary RAUM · $58.3M to $35.9M
        Apr 18, 2012 to Mar 6, 2013
      • Non-discretionary RAUM · $0 to $36.9M
        Apr 18, 2012 to Mar 6, 2013
      • RAUM · $58.3M to $72.8M
        Apr 18, 2012 to Mar 6, 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.
      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