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Former SEC-registered adviser

T•• P•••••••• C•••••• C•••••••••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 105507SEC 801-13828IAPD
Latest filing Mar 27, 2024
First filing on the tape Mar 26, 2012 · 16 filings
RAUM
$978M
reported, Item 5.F
Discretionary
100%
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
5
3 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$978M as of Mar 27, 2024
Mar 26, 2012$1.4B then
HNW client RAUM$0 as of Mar 27, 2024
Mar 23, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 27, 2024
Mar 25, 20133 then
Employees (5.A)5 as of Mar 27, 2024
Mar 25, 201310 then
Private funds: no history
RAUM -0.7% over the last fiscal year-0.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
RAUM per advisor
$489MderivedRAUM 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
$97.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
77%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.7%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • Pension and profit-sharing plans$528M70%
  • Insurance companies$199M26%
  • Charitable organizations$28.0M3.7%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
0reported
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
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
    • G••••• H••••• P••••••• · Senior V.P.control
      since 08/1988 · owns less than 5%
    • P••••••••• J•••••• B•••• · President, Ceocontrol
      since 10/1977 · owns 75% or more
    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
    • Discretionary RAUM · $986M to $978M
      Mar 21, 2023 to Mar 27, 2024
    • Pension RAUM · $560M to $528M
      Mar 21, 2023 to Mar 27, 2024
    • RAUM · $986M to $978M
      Mar 21, 2023 to Mar 27, 2024
    • Accounts · 12 to 10
      Mar 15, 2022 to Mar 21, 2023
    • Employees · 6 to 5
      Mar 15, 2022 to Mar 21, 2023
    • State-registered IARs · 4 to 2
      Mar 15, 2022 to Mar 21, 2023
    • Discretionary RAUM · $1.2B to $986M
      Mar 15, 2022 to Mar 21, 2023
    • Pension RAUM · $766M to $560M
      Mar 15, 2022 to Mar 21, 2023
    • RAUM · $1.2B to $986M
      Mar 15, 2022 to Mar 21, 2023
    • Advisory employees · 4 to 3
      Aug 19, 2021 to Mar 15, 2022
    • Employees · 7 to 6
      Aug 19, 2021 to Mar 15, 2022
    • Discretionary RAUM · $989M to $1.2B
      Aug 19, 2021 to Mar 15, 2022
    • Pension RAUM · $513M to $766M
      Aug 19, 2021 to Mar 15, 2022
    • RAUM · $989M to $1.2B
      Aug 19, 2021 to Mar 15, 2022
    • Employees · 8 to 7
      Mar 10, 2020 to Mar 19, 2021
    • Discretionary RAUM · $1.1B to $989M
      Mar 10, 2020 to Mar 19, 2021
    • Pension RAUM · $614M to $513M
      Mar 10, 2020 to Mar 19, 2021
    • RAUM · $1.1B to $989M
      Mar 10, 2020 to Mar 19, 2021
    • Accounts · 15 to 12
      Mar 14, 2019 to Mar 10, 2020
    • Employees · 9 to 8
      Mar 14, 2019 to Mar 10, 2020
    • Discretionary RAUM · $1.3B to $1.1B
      Mar 14, 2019 to Mar 10, 2020
    • Pension RAUM · $614M to $614M
      Mar 14, 2019 to Mar 10, 2020
    • RAUM · $1.3B to $1.1B
      Mar 14, 2019 to Mar 10, 2020
    • Accounts · 16 to 15
      Mar 27, 2018 to Mar 14, 2019
    • Charity clients · 3.0 to unset
      Mar 27, 2018 to Mar 14, 2019
    • Pension plan clients · 2.0 to unset
      Mar 27, 2018 to Mar 14, 2019
    • Employees · 10 to 9
      Mar 27, 2018 to Mar 14, 2019
    • State-registered IARs · 3 to 4
      Mar 27, 2018 to Mar 14, 2019
    • Discretionary RAUM · $1.3B to $1.3B
      Mar 27, 2018 to Mar 14, 2019
    • Pension RAUM · $628M to $614M
      Mar 27, 2018 to Mar 14, 2019
    • RAUM · $1.3B to $1.3B
      Mar 27, 2018 to Mar 14, 2019
    • Accounts · 17 to 16
      Mar 23, 2017 to Mar 23, 2018
    • Advisory employees · 3 to 4
      Mar 23, 2017 to Mar 23, 2018
    • Charity clients · unset to 3.0
      Mar 23, 2017 to Mar 23, 2018
    • Corporate clients · unset to 0.0
      Mar 23, 2017 to Mar 23, 2018
    • HNW clients · unset to 0.0
      Mar 23, 2017 to Mar 23, 2018
    • Individual clients · unset to 0.0
      Mar 23, 2017 to Mar 23, 2018
    • Pension plan clients · unset to 2.0
      Mar 23, 2017 to Mar 23, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 23, 2017 to Mar 23, 2018
    • Employees · 9 to 10
      Mar 23, 2017 to Mar 23, 2018
    Signals
    3 dated events
    • H••• R•• left T•• P•••••••• C•••••• C••••••••• for L•• F•••••••• L•• (registered 2022-10-06)
      Aug 31, 2022 · Advisor changed firm · fact
    • T•• P•••••••• C•••••• C••••••••• reported RAUM $1.2B, up 26% from $988.8M (2021-08-19 to 2022-03-15)
      Mar 15, 2022 · RAUM change · derived
    • Marie Jean Clark (Senior V.P.) no longer on Schedule A of T•• P•••••••• C•••••• C••••••••• (listed 2021-03-19, absent 2021-08-19)
      Aug 19, 2021 · Control person left · inference
    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