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A•••••••• A•••• M••••••••• I••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $39.2M of regulatory assets.

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

Last reported RAUM
$39.2M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-1.6%
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 10 Form ADV filings for this adviser, the latest 10.7 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 106936 · SEC 801-50793 · 10 filingsShow
CRD 106936SEC 801-50793First filing on the tape Mar 20, 2012, latest Mar 7, 2016IAPD
RAUM
$39.2M
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
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$39.2M as of Mar 7, 2016
Mar 20, 2012$28.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2016
Mar 20, 20120 then
Employees (5.A)2 as of Mar 7, 2016
Feb 12, 20133 then
Private funds: no history
RAUM -1.6% over the last fiscal year+9.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2016; 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
unknownderivedHNW RAUM over HNW clients
Average account
$372,917derivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.6%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$4.3M, 16 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
105reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$4.3M for 16 clientsreported
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
      • A••••••••• L••• A•••• · President/Chief Compliance Officercontrol
        since 11/1990 · 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
      • Accounts · 101 to 105
        Sep 2, 2015 to Mar 7, 2016
      • Assets in custody · $3.3M to $4.3M
        Sep 2, 2015 to Mar 7, 2016
      • Discretionary RAUM · $39.8M to $39.2M
        Sep 2, 2015 to Mar 7, 2016
      • RAUM · $39.8M to $39.2M
        Sep 2, 2015 to Mar 7, 2016
      • Accounts · 102 to 101
        Mar 11, 2014 to Mar 10, 2015
      • Assets in custody · $2.7M to $3.3M
        Mar 11, 2014 to Mar 10, 2015
      • Employees · 3 to 2
        Mar 11, 2014 to Mar 10, 2015
      • Discretionary RAUM · $37.2M to $39.8M
        Mar 11, 2014 to Mar 10, 2015
      • RAUM · $37.2M to $39.8M
        Mar 11, 2014 to Mar 10, 2015
      • Accounts · 101 to 102
        Jan 17, 2014 to Mar 3, 2014
      • Discretionary RAUM · $30.0M to $37.2M
        Jan 17, 2014 to Mar 3, 2014
      • RAUM · $30.0M to $37.2M
        Jan 17, 2014 to Mar 3, 2014
      • Assets in custody · $3.0M to $2.7M
        Feb 12, 2013 to Jan 17, 2014
      • Accounts · 109 to 101
        Mar 20, 2012 to Feb 12, 2013
      • Advisory employees · unset to 1.0
        Mar 20, 2012 to Feb 12, 2013
      • Employees · unset to 3.0
        Mar 20, 2012 to Feb 12, 2013
      • Discretionary RAUM · $28.6M to $30.0M
        Mar 20, 2012 to Feb 12, 2013
      • RAUM · $28.6M to $30.0M
        Mar 20, 2012 to Feb 12, 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