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RIA Intelligence

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Former SEC-registered adviser

L••••••••• R• E• C•••••• M••••••••• C•••

Former SEC-registered adviserNew York, New YorkCRD 110233SEC 801-6756IAPD
Latest filing Feb 25, 2015
First filing on the tape Feb 28, 2012 · 4 filings
RAUM
$232M
reported, Item 5.F
Discretionary
29%
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$232M as of Feb 25, 2015
Feb 28, 2012$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 25, 2015
Feb 28, 20120 then
Employees (5.A)3 as of Feb 25, 2015
Feb 28, 20133 then
Private funds: no history
RAUM -19% over the last fiscal year-8.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 25, 2015; every figure names its basis
RAUM per advisor
$232MderivedRAUM 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
$16.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
29%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-19%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.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
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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••••••••• R••••• E••••• · Pres. Treas. Dir. Shrhldr. 151 Shrs (75.5%) Class A Votingcontrol
        since 06/1970 · owns less than 5%
      • L••••••••• P•••••••• K•••••• · Director
        since 12/1993 · owns less than 5%
      • R••••••••• Z••• A•••• · Director/Chief Compliance Officer
        since 11/2005 · owns less than 5%
      Entity owners
      • P••••••• K• L••••••••• A•• K•••• S• C•••••••• T•••••••• U• D•• 1••••••••• C• R•• F•• H•• I•••• · Shareholder 49 Shrs (24.5%) Class A Voting: 1029 Shrs (24.5%) Class B Nonvoting
        direct · owns 10% to 25%
      • P••••••• K• L••••••••• A• T••••••• U• D•• 1••••••••• C• R•• F•• D•••• L••••••••• · Shareholder 539 Shrs (12.8333%) Class B Nonvoting
        direct · owns 10% to 25%
      • P••••••• K• L••••••••• A• T••••••• U• D•• 1••••••••• C• R•• F•• E•••••••• L••••••••• · Shareholder 2632 Shrs (62.6667%) Class B Nonvoting
        direct · 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
      • Discretionary RAUM · $67.8M to $67.5M
        Feb 26, 2014 to Feb 25, 2015
      • Non-discretionary RAUM · $219M to $164M
        Feb 26, 2014 to Feb 25, 2015
      • RAUM · $287M to $232M
        Feb 26, 2014 to Feb 25, 2015
      • Accounts · 15 to 14
        Feb 28, 2013 to Feb 26, 2014
      • Discretionary RAUM · $50.6M to $67.8M
        Feb 28, 2013 to Feb 26, 2014
      • Non-discretionary RAUM · $228M to $219M
        Feb 28, 2013 to Feb 26, 2014
      • RAUM · $279M to $287M
        Feb 28, 2013 to Feb 26, 2014
      • Advisory employees · unset to 1.0
        Feb 28, 2012 to Feb 28, 2013
      • Employees · unset to 3.0
        Feb 28, 2012 to Feb 28, 2013
      • State-registered IARs · 0 to 1
        Feb 28, 2012 to Feb 28, 2013
      • Discretionary RAUM · $47.9M to $50.6M
        Feb 28, 2012 to Feb 28, 2013
      • Non-discretionary RAUM · $250M to $228M
        Feb 28, 2012 to Feb 28, 2013
      • RAUM · $298M to $279M
        Feb 28, 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