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P••••• C•••••• M••••••••• I••

Former SEC-registered adviserFormer SEC adviser1 private funds· Seattle, Washington

Former SEC-registered adviser, based in Seattle, Washington, reporting $61.7M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$61.7M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
Advisors (1)Advisor 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 7 Form ADV filings for this adviser, the latest 14.4 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 106319 · SEC 801-36301 · 7 filingsShow
CRD 106319SEC 801-36301First filing on the tape Nov 9, 2011, latest Jun 14, 2012IAPD
RAUM
$61.7M
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
$61.7M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$16.4M gross assets
History
7 filings and snapshots on the tape
RAUM$61.7M as of Jun 14, 2012
Nov 9, 2011$64.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 14, 2012
Nov 9, 20110 then
Employees (5.A): no history
Private funds1 as of Jun 14, 2012
Feb 8, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 14, 2012; every figure names its basis
RAUM per advisor
$61.7MderivedRAUM 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
$2.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
1.0derived1 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$18.8M, 1 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
24reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$18.8M for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••• E•••••••• P•••••Seattle, WaOct 27, 201136 y1
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• C•••••• P•••••••• L•••Hedge Fund$16.4M20Feb 8, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• M••••• E•••••••• · President And Chief Compliance Officercontrol
        since 02/1990 · 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
      • Assets in custody · unset to 1900000.0
        Feb 28, 2012 to Jun 14, 2012
      • Custody of client assets · false to true
        Feb 28, 2012 to Jun 14, 2012
      • Assets in custody · $1.9M to $18.8M
        Jun 14, 2012 to Jun 14, 2012
      • Accounts · 28 to 24
        Nov 9, 2011 to Feb 8, 2012
      • Advisory activities · 2 to 3
        Nov 9, 2011 to Feb 8, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 9, 2011 to Feb 8, 2012
      • Private funds · unset to 1
        Nov 9, 2011 to Feb 8, 2012
      • Discretionary RAUM · $64.7M to $61.7M
        Nov 9, 2011 to Feb 8, 2012
      • RAUM · $64.7M to $61.7M
        Nov 9, 2011 to Feb 8, 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
      $61.7Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026