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S•••••••• P••••••• I••••••••• A•••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Rye Brook, New York

Former SEC-registered adviser, based in Rye Brook, New York, reporting $373M of regulatory assets.

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

As of 2018-02-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $373M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -0.5%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2018-02-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 13 Form ADV filings for this adviser, the latest 8.8 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 109568 · SEC 801-58045 · 13 filingsShow

CRD 109568SEC 801-58045First filing on the tape Mar 6, 2012, latest Feb 2, 2018IAPD

RAUM

$373M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$373M as of Mar 23, 2017

May 2, 2012$367M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Mar 23, 2017

May 2, 20120 then

Employees (5.A)5 as of Mar 23, 2017

Mar 25, 20136 then

Private funds: no history

RAUM -0.5% over the last fiscal year+5.9% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 2, 2018; every figure names its basis

RAUM per advisor: $373MderivedRAUM 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: $751,248derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -0.5%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: 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)

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: 496reported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••• H•••••• N••••• · Presidentcontrol
since 01/2000 · owns 75% or more
G••••• J•••• D•••• · Chief Compliance Officer
since 10/2004 · owns 10% to 25%
M••• D••••• P• · Portfolio Manager
since 12/2015 · owns F of S•••••••• P••••••• I••••••••• A•••••••, Inc
P••••• D••••• B•••••• · Managing Director
since 08/2011 · owns F of S•••••••• P••••••• I••••••••• A•••••••• I•••
V•••••••• C••••••••• L••••••• · Managing Director
since 12/2015 · owns F of S•••••••• P••••••• I••••••••• A•••••••• I•••

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

Other offices · unset to 0.0
Mar 23, 2017 to Feb 2, 2018
Accounts · 472 to 496
Mar 30, 2016 to Mar 23, 2017
Advisory employees · 6 to 5
Mar 30, 2016 to Mar 23, 2017
Employees · 6 to 5
Mar 30, 2016 to Mar 23, 2017
Discretionary RAUM · $364M to $365M
Mar 30, 2016 to Mar 23, 2017
Non-discretionary RAUM · $9.9M to $7.9M
Mar 30, 2016 to Mar 23, 2017
RAUM · $374M to $373M
Mar 30, 2016 to Mar 23, 2017
Accounts · 400 to 472
Jul 10, 2015 to Mar 30, 2016
Financial planning clients · unset to 0
Jul 10, 2015 to Mar 30, 2016
Discretionary RAUM · $344M to $364M
Jul 10, 2015 to Mar 30, 2016
Non-discretionary RAUM · $12.4M to $9.9M
Jul 10, 2015 to Mar 30, 2016
RAUM · $357M to $374M
Jul 10, 2015 to Mar 30, 2016
Accounts · 384 to 400
Jun 9, 2015 to Jul 10, 2015
Advisory employees · 5 to 6
Jun 9, 2015 to Jul 10, 2015
Financial planning clients · 0 to unset
Jun 9, 2015 to Jul 10, 2015
Discretionary RAUM · $334M to $344M
Jun 9, 2015 to Jul 10, 2015
Non-discretionary RAUM · $10.4M to $12.4M
Jun 9, 2015 to Jul 10, 2015
RAUM · $344M to $357M
Jun 9, 2015 to Jul 10, 2015
Accounts · 355 to 384
Dec 10, 2014 to Mar 30, 2015
Advisory employees · 6 to 5
Dec 10, 2014 to Mar 30, 2015
Employees · 7 to 6
Dec 10, 2014 to Mar 30, 2015
Discretionary RAUM · $300M to $334M
Dec 10, 2014 to Mar 30, 2015
Non-discretionary RAUM · $13.5M to $10.4M
Dec 10, 2014 to Mar 30, 2015
RAUM · $314M to $344M
Dec 10, 2014 to Mar 30, 2015
Related broker-dealer · true to false
Dec 10, 2014 to Mar 30, 2015
Accounts · 372 to 355
Apr 9, 2013 to Mar 28, 2014
Advisory employees · 3 to 6
Apr 9, 2013 to Mar 28, 2014
Employees · 6 to 7
Apr 9, 2013 to Mar 28, 2014
Discretionary RAUM · $330M to $300M
Apr 9, 2013 to Mar 28, 2014
Non-discretionary RAUM · $11.6M to $13.5M
Apr 9, 2013 to Mar 28, 2014
RAUM · $342M to $314M
Apr 9, 2013 to Mar 28, 2014
Related broker-dealer · false to true
Apr 9, 2013 to Mar 28, 2014
Accounts · 379 to 372
May 2, 2012 to Mar 25, 2013
Advisory employees · unset to 3.0
May 2, 2012 to Mar 25, 2013
BD registered reps · unset to 0.0
May 2, 2012 to Mar 25, 2013
Employees · unset to 6.0
May 2, 2012 to Mar 25, 2013
State-registered IARs · 0 to 1
May 2, 2012 to Mar 25, 2013
Discretionary RAUM · $347M to $330M
May 2, 2012 to Mar 25, 2013
Non-discretionary RAUM · $19.6M to $11.6M
May 2, 2012 to Mar 25, 2013
RAUM · $367M to $342M
May 2, 2012 to Mar 25, 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