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Former SEC-registered adviser

P•••• I••••••••• A••••••• I••

Former SEC-registered adviserWestfield, New JerseyCRD 106133SEC 801-47690IAPD
Latest filing Feb 10, 2015
First filing on the tape Jan 25, 2012 · 10 filings
RAUM
$79.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$79.2M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$79.2M as of Jan 5, 2015
Jan 25, 2012$85.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 5, 2015
Jan 25, 20120 then
Employees (5.A)2 as of Jan 5, 2015
Jan 24, 20133 then
Private funds: no history
RAUM -13% over the last fiscal year-2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 10, 2015; every figure names its basis
RAUM per advisor
$79.2MderivedRAUM 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
$799,599derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • 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
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
99reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P•••• A•••••• S•••••••••Westfield, NjJan 1, 202634 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
      • S••••••••• P••••• A•••••• · Presidentcontrol
        since 10/1994 · owns 75% or more
      • S••••••••• J•••••• R••••• · Chief Compliance Officer
        since 01/1995 · 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 · 111 to 99
        Aug 25, 2014 to Jan 5, 2015
      • Advisory employees · 2 to 1
        Aug 25, 2014 to Jan 5, 2015
      • Employees · 3 to 2
        Aug 25, 2014 to Jan 5, 2015
      • Discretionary RAUM · $91.0M to $79.2M
        Aug 25, 2014 to Jan 5, 2015
      • RAUM · $91.0M to $79.2M
        Aug 25, 2014 to Jan 5, 2015
      • Accounts · 110 to 111
        Mar 18, 2013 to Jan 7, 2014
      • Discretionary RAUM · $90.1M to $91.0M
        Mar 18, 2013 to Jan 7, 2014
      • RAUM · $90.1M to $91.0M
        Mar 18, 2013 to Jan 7, 2014
      • Discretionary RAUM · $86.1M to $90.1M
        Jan 29, 2013 to Mar 18, 2013
      • RAUM · $86.1M to $90.1M
        Jan 29, 2013 to Mar 18, 2013
      • Advisory employees · unset to 2.0
        Mar 27, 2012 to Jan 24, 2013
      • Employees · unset to 3.0
        Mar 27, 2012 to Jan 24, 2013
      • Discretionary RAUM · $90.1M to $86.1M
        Mar 27, 2012 to Jan 24, 2013
      • RAUM · $90.1M to $86.1M
        Mar 27, 2012 to Jan 24, 2013
      • Accounts · 109 to 110
        Jan 25, 2012 to Mar 27, 2012
      • Discretionary RAUM · $85.3M to $90.1M
        Jan 25, 2012 to Mar 27, 2012
      • RAUM · $85.3M to $90.1M
        Jan 25, 2012 to Mar 27, 2012
      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
      $79.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026