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Former SEC-registered adviser

B••••• I••••••••• A••••••• I••

Former SEC-registered adviserPhoenix, ArizonaCRD 108145SEC 801-55835IAPD
Latest filing Mar 28, 2017
First filing on the tape Mar 9, 2012 · 15 filings
RAUM
$139M
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$139M as of Mar 28, 2017
Mar 9, 2012$133M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 28, 2017
Mar 9, 20120 then
Employees (5.A)6 as of Mar 28, 2017
Mar 27, 20134 then
Private funds: no history
RAUM +2.1% over the last fiscal year+0.9% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 28, 2017; every figure names its basis
RAUM per advisor
$69.5MderivedRAUM 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
$803,239derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.1%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 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
  • 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
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
173reported
Financial planning clients
101-250reported
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
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•••••• K•••••• J• B••• · President/Treasurercontrol
      since 07/1998 · owns 50% to 75%
    • B•••••• S••••••• P••• · Vice President/Secretary/Ccocontrol
      since 06/1998 · owns 50% to 75%
    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 · 480 to 173
      Feb 16, 2017 to Mar 28, 2017
    • Advisory employees · 4 to 3
      Feb 16, 2017 to Mar 28, 2017
    • Discretionary RAUM · $141M to $139M
      Feb 16, 2017 to Mar 28, 2017
    • RAUM · $141M to $139M
      Feb 16, 2017 to Mar 28, 2017
    • State-registered IARs · 3 to 2
      Jul 1, 2016 to Feb 16, 2017
    • Discretionary RAUM · $138M to $141M
      Jul 1, 2016 to Feb 16, 2017
    • RAUM · $138M to $141M
      Jul 1, 2016 to Feb 16, 2017
    • Accounts · 460 to 480
      Mar 30, 2016 to Jul 1, 2016
    • Employees · 4 to 6
      Mar 30, 2016 to Jul 1, 2016
    • Discretionary RAUM · $136M to $138M
      Mar 30, 2016 to Jul 1, 2016
    • RAUM · $136M to $138M
      Mar 30, 2016 to Jul 1, 2016
    • Accounts · 463 to 460
      Dec 7, 2015 to Mar 30, 2016
    • Discretionary RAUM · $142M to $136M
      Dec 7, 2015 to Mar 30, 2016
    • RAUM · $142M to $136M
      Dec 7, 2015 to Mar 30, 2016
    • Accounts · 432 to 463
      Dec 9, 2014 to Mar 31, 2015
    • Advisory employees · 3 to 4
      Dec 9, 2014 to Mar 31, 2015
    • Financial planning clients · 51-100 to 101-250
      Dec 9, 2014 to Mar 31, 2015
    • Discretionary RAUM · $135M to $142M
      Dec 9, 2014 to Mar 31, 2015
    • RAUM · $135M to $142M
      Dec 9, 2014 to Mar 31, 2015
    • Accounts · 144 to 432
      Mar 13, 2014 to Mar 28, 2014
    • Discretionary RAUM · $141M to $135M
      Mar 13, 2014 to Mar 28, 2014
    • RAUM · $141M to $135M
      Mar 13, 2014 to Mar 28, 2014
    • Accounts · 139 to 144
      Feb 28, 2013 to Mar 27, 2013
    • Discretionary RAUM · $133M to $141M
      Feb 28, 2013 to Mar 27, 2013
    • RAUM · $133M to $141M
      Feb 28, 2013 to Mar 27, 2013
    • Advisory employees · unset to 3.0
      Mar 9, 2012 to Feb 28, 2013
    • Employees · unset to 4.0
      Mar 9, 2012 to Feb 28, 2013
    • State-registered IARs · 0 to 3
      Mar 9, 2012 to Feb 28, 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