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Former SEC-registered adviser

T••••••••• • L•••• I••

Former SEC-registered adviserNew York, New YorkCRD 107104SEC 801-13399IAPD
Latest filing Jan 30, 2019
First filing on the tape Dec 16, 2011 · 13 filings
RAUM
$803M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$755M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$803M as of Jan 17, 2019
Dec 16, 2011$450M then
HNW client RAUM$692M as of Jan 17, 2019
Jan 18, 2018$644M then
State-registered IARs (5.B.3)0 as of Jan 17, 2019
Dec 16, 20110 then
Employees (5.A)6 as of Jan 17, 2019
Jan 11, 20137 then
Private funds: no history
RAUM +6.1% over the last fiscal year+7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 30, 2019; 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
$3.4MderivedHNW RAUM over HNW clients
Average account
$2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+2.3%derived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$692M86%
  • Individuals$63.7M7.9%
  • Charitable organizations$47.3M5.9%
Individual clients
150reported
HNW clients
203reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
353reported
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
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
      • L••••• J••••••• M• · Director, Presidentcontrol
        since 12/2006 · owns 75% or more
      • F•••••••• H•••••• R• · Executive Vice President, Chief Compliance Officer
        since 06/2015 · 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 · 352 to 353
        Jan 18, 2018 to Jan 17, 2019
      • HNW clients · 187 to 203
        Jan 18, 2018 to Jan 17, 2019
      • Individual clients · 158 to 150
        Jan 18, 2018 to Jan 17, 2019
      • Discretionary RAUM · $749M to $795M
        Jan 18, 2018 to Jan 17, 2019
      • HNW RAUM · $644M to $692M
        Jan 18, 2018 to Jan 17, 2019
      • Individual RAUM · $65.8M to $63.7M
        Jan 18, 2018 to Jan 17, 2019
      • Non-discretionary RAUM · $7.6M to $8.2M
        Jan 18, 2018 to Jan 17, 2019
      • RAUM · $757M to $803M
        Jan 18, 2018 to Jan 17, 2019
      • Accounts · 370 to 352
        Jan 13, 2017 to Jan 18, 2018
      • Charity clients · unset to 7.0
        Jan 13, 2017 to Jan 18, 2018
      • HNW clients · unset to 187.0
        Jan 13, 2017 to Jan 18, 2018
      • Individual clients · unset to 158.0
        Jan 13, 2017 to Jan 18, 2018
      • Other offices · unset to 1.0
        Jan 13, 2017 to Jan 18, 2018
      • Discretionary RAUM · $626M to $749M
        Jan 13, 2017 to Jan 18, 2018
      • HNW RAUM · unset to 643680253.0
        Jan 13, 2017 to Jan 18, 2018
      • Individual RAUM · unset to 65795162.0
        Jan 13, 2017 to Jan 18, 2018
      • Non-discretionary RAUM · $7.7M to $7.6M
        Jan 13, 2017 to Jan 18, 2018
      • RAUM · $634M to $757M
        Jan 13, 2017 to Jan 18, 2018
      • Accounts · 382 to 370
        Jan 4, 2016 to Jan 13, 2017
      • Employees · 7 to 6
        Jan 4, 2016 to Jan 13, 2017
      • Discretionary RAUM · $645M to $626M
        Jan 4, 2016 to Jan 13, 2017
      • Non-discretionary RAUM · $7.3M to $7.7M
        Jan 4, 2016 to Jan 13, 2017
      • RAUM · $653M to $634M
        Jan 4, 2016 to Jan 13, 2017
      • Accounts · 389 to 382
        Jan 16, 2015 to Jan 4, 2016
      • Discretionary RAUM · $674M to $645M
        Jan 16, 2015 to Jan 4, 2016
      • Non-discretionary RAUM · $4.8M to $7.3M
        Jan 16, 2015 to Jan 4, 2016
      • RAUM · $679M to $653M
        Jan 16, 2015 to Jan 4, 2016
      • Accounts · 373 to 389
        Dec 18, 2013 to Jan 16, 2015
      • Discretionary RAUM · $610M to $674M
        Dec 18, 2013 to Jan 16, 2015
      • Non-discretionary RAUM · $0 to $4.8M
        Dec 18, 2013 to Jan 16, 2015
      • RAUM · $610M to $679M
        Dec 18, 2013 to Jan 16, 2015
      • Accounts · 358 to 373
        Jan 11, 2013 to Dec 18, 2013
      • Financial planning clients · unset to 0
        Jan 11, 2013 to Dec 18, 2013
      • Discretionary RAUM · $467M to $610M
        Jan 11, 2013 to Dec 18, 2013
      • RAUM · $467M to $610M
        Jan 11, 2013 to Dec 18, 2013
      • Accounts · 353 to 358
        Jun 20, 2012 to Jan 11, 2013
      • Advisory employees · unset to 3.0
        Jun 20, 2012 to Jan 11, 2013
      • Employees · unset to 7.0
        Jun 20, 2012 to Jan 11, 2013
      • Discretionary RAUM · $450M to $467M
        Jun 20, 2012 to Jan 11, 2013
      • RAUM · $450M to $467M
        Jun 20, 2012 to Jan 11, 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