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Former SEC-registered adviserFormer SEC adviser· Sarasota, Florida

Former SEC-registered adviser, based in Sarasota, Florida, reporting $50.1M of regulatory assets.

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

Last reported RAUM
$50.1M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-70%
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
Why this matters
Every filed figure, and the identifiersCRD 109656 · SEC 801-60066 · 10 filingsShow
CRD 109656SEC 801-60066First filing on the tape Feb 14, 2012, latest Feb 5, 2016IAPD
RAUM
$50.1M
reported, Item 5.F
Discretionary
31%
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
10 filings and snapshots on the tape
RAUM$162M as of Feb 3, 2015
Feb 14, 2012$134M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 3, 2015
Feb 14, 20120 then
Employees (5.A)2 as of Feb 3, 2015
Feb 7, 20132 then
Private funds: no history
RAUM -70% over the last fiscal year-28% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 5, 2016; every figure names its basis
RAUM per advisor
$25.1MderivedRAUM 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
$650,948derivedRAUM over accounts (5.F.2.f)
Discretionary
31%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
-2.9%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
yesreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
77reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
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•••••• R••••••• T••••• · Presidentcontrol
      since 01/1995 · owns 75% or more
    • F•••••• R••••• T•••••• · Chief Compliance Officer & Principalcontrol
      since 01/1995 · 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
    • Assets in custody · unset to 0.0
      Oct 15, 2015 to Dec 15, 2015
    • Custody of client assets · false to true
      Oct 15, 2015 to Dec 15, 2015
    • Accounts · 93 to 77
      Feb 3, 2015 to Oct 15, 2015
    • Advisory activities · 3 to 1
      Feb 3, 2015 to Oct 15, 2015
    • BD registered reps · 1 to 0
      Feb 3, 2015 to Oct 15, 2015
    • Discretionary RAUM · $142M to $15.4M
      Feb 3, 2015 to Oct 15, 2015
    • Non-discretionary RAUM · $19.8M to $34.7M
      Feb 3, 2015 to Oct 15, 2015
    • RAUM · $162M to $50.1M
      Feb 3, 2015 to Oct 15, 2015
    • Accounts · 101 to 93
      Jan 22, 2014 to Feb 3, 2015
    • Discretionary RAUM · $148M to $142M
      Jan 22, 2014 to Feb 3, 2015
    • Non-discretionary RAUM · $18.9M to $19.8M
      Jan 22, 2014 to Feb 3, 2015
    • RAUM · $167M to $162M
      Jan 22, 2014 to Feb 3, 2015
    • Accounts · 99 to 101
      Feb 7, 2013 to Jan 22, 2014
    • Discretionary RAUM · $123M to $148M
      Feb 7, 2013 to Jan 22, 2014
    • Non-discretionary RAUM · $17.1M to $18.9M
      Feb 7, 2013 to Jan 22, 2014
    • RAUM · $140M to $167M
      Feb 7, 2013 to Jan 22, 2014
    • Accounts · 104 to 99
      Feb 14, 2012 to Feb 7, 2013
    • Advisory employees · unset to 2.0
      Feb 14, 2012 to Feb 7, 2013
    • BD registered reps · unset to 1.0
      Feb 14, 2012 to Feb 7, 2013
    • Employees · unset to 2.0
      Feb 14, 2012 to Feb 7, 2013
    • State-registered IARs · 0 to 2
      Feb 14, 2012 to Feb 7, 2013
    • Discretionary RAUM · $117M to $123M
      Feb 14, 2012 to Feb 7, 2013
    • Non-discretionary RAUM · $16.3M to $17.1M
      Feb 14, 2012 to Feb 7, 2013
    • RAUM · $134M to $140M
      Feb 14, 2012 to Feb 7, 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