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Former SEC-registered adviser

M••••••• C•••••• M••••••••• I••

Former SEC-registered adviserSeal Beach, CaliforniaCRD 108131SEC 801-56034IAPD
Latest filing Feb 4, 2013
First filing on the tape Mar 16, 2012 · 5 filings
RAUM
$102M
reported, Item 5.F
Discretionary
95%
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$102M as of Feb 4, 2013
Mar 16, 2012$76.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 4, 2013
Mar 16, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM +33% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Feb 4, 2013; every figure names its basis
RAUM per advisor
$50.9MderivedRAUM 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
$452,667derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+33%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 individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
225reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      • B••••• D••••••• W••••• · Presidentcontrol
        since 06/1998 · owns 75% or more
      • S••••••• E••••••• M•••••••• · Chief Compliance Officercontrol
        since 08/2006 · 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
      • Advisory employees · unset to 2.0
        Jul 19, 2012 to Feb 4, 2013
      • BD registered reps · unset to 1.0
        Jul 19, 2012 to Feb 4, 2013
      • Employees · unset to 2.0
        Jul 19, 2012 to Feb 4, 2013
      • State-registered IARs · 0 to 2
        Jul 19, 2012 to Feb 4, 2013
      • Discretionary RAUM · $92.0M to $96.6M
        Jul 19, 2012 to Feb 4, 2013
      • Non-discretionary RAUM · $5.0M to $5.3M
        Jul 19, 2012 to Feb 4, 2013
      • RAUM · $97.0M to $102M
        Jul 19, 2012 to Feb 4, 2013
      • Accounts · 253 to 225
        Mar 19, 2012 to Jul 12, 2012
      • Discretionary RAUM · $76.7M to $92.0M
        Mar 19, 2012 to Jul 12, 2012
      • Non-discretionary RAUM · $0 to $5.0M
        Mar 19, 2012 to Jul 12, 2012
      • RAUM · $76.7M to $97.0M
        Mar 19, 2012 to Jul 12, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026