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Former SEC-registered adviser

F•••• G••••• A••••••••• I••

Former SEC-registered adviserNew York, New YorkCRD 110326SEC 801-18701IAPD
Latest filing Apr 29, 2015
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$374M
reported, Item 5.F
Discretionary
97%
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
2 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$374M as of Apr 29, 2015
Mar 30, 2012$293M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 29, 2015
Mar 30, 20120 then
Employees (5.A)3 as of Apr 29, 2015
Apr 24, 20133 then
Private funds: no history
RAUM +3.3% over the last fiscal year+8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.3%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, fixed feesreportedItem 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)
  • 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
215reported
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
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
    • F••••• C••••••• A••••• · Chairmancontrol
      since 02/1983 · owns 50% to 75%
    • G•••••• K•••••• · President, Chief Compliance Officercontrol
      since 09/1984 · 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 · 194 to 215
      Apr 30, 2014 to Apr 29, 2015
    • Discretionary RAUM · $352M to $363M
      Apr 30, 2014 to Apr 29, 2015
    • Non-discretionary RAUM · $9.9M to $10.0M
      Apr 30, 2014 to Apr 29, 2015
    • RAUM · $362M to $374M
      Apr 30, 2014 to Apr 29, 2015
    • Accounts · 242 to 194
      Apr 24, 2013 to Apr 30, 2014
    • Discretionary RAUM · $306M to $352M
      Apr 24, 2013 to Apr 30, 2014
    • Non-discretionary RAUM · $8.8M to $9.9M
      Apr 24, 2013 to Apr 30, 2014
    • RAUM · $315M to $362M
      Apr 24, 2013 to Apr 30, 2014
    • Accounts · 232 to 242
      Mar 30, 2012 to Apr 24, 2013
    • Advisory employees · unset to 2.0
      Mar 30, 2012 to Apr 24, 2013
    • Employees · unset to 3.0
      Mar 30, 2012 to Apr 24, 2013
    • Discretionary RAUM · $284M to $306M
      Mar 30, 2012 to Apr 24, 2013
    • Non-discretionary RAUM · $8.3M to $8.8M
      Mar 30, 2012 to Apr 24, 2013
    • RAUM · $293M to $315M
      Mar 30, 2012 to Apr 24, 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