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Former SEC-registered adviser

P•••••• P••••••••• F•••••••• S•••••••• I•••

Former SEC-registered adviserAberdeen, New JerseyCRD 110405SEC 801-40100IAPD
Latest filing May 8, 2020
First filing on the tape Mar 26, 2012 · 13 filings
RAUM
$77.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
3.7%
$2.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$77.3M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$77.3M as of May 8, 2020
Mar 26, 2012$50.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 8, 2020
Mar 20, 20132 then
Employees (5.A)6 as of May 8, 2020
Mar 20, 20137 then
Private funds: no history
RAUM +24% over the last fiscal year+9.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 8, 2020; every figure names its basis
RAUM per advisor
$77.3MderivedRAUM 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
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
96%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+24%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 individuals, pension consultingreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$74.5M96%
  • Individuals$2.8M3.7%
Individual clients
7reported
HNW clients
n/areported
Pension plan clients
40reported
Charitable clients
n/areported
Accounts
47reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• F•••••• M••••••••Aberdeen, NjJan 1, 202634 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
      • M•••••• M••••••• · Chief Investment Officercontrol
        since 01/2006 · owns less than 5%
      • M••••••••• K••••• F•••••• · Presidentcontrol
        since 09/2006 · owns 75% or more
      • D••••••••• P•••••• · Chief Compliance Officer
        since 01/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 43 to 47
        Oct 17, 2019 to May 8, 2020
      • Individual clients · 8 to 7
        Oct 17, 2019 to May 8, 2020
      • Pension plan clients · 35 to 40
        Oct 17, 2019 to May 8, 2020
      • Individual RAUM · $5.4M to $2.8M
        Oct 17, 2019 to May 8, 2020
      • Non-discretionary RAUM · $62.6M to $77.3M
        Oct 17, 2019 to May 8, 2020
      • Pension RAUM · $57.2M to $74.5M
        Oct 17, 2019 to May 8, 2020
      • RAUM · $62.6M to $77.3M
        Oct 17, 2019 to May 8, 2020
      • Other offices · 0 to 1
        Oct 15, 2019 to Oct 17, 2019
      • HQ city · NEW YORK to ABERDEEN
        Mar 27, 2019 to Oct 15, 2019
      • HQ state · NY to NJ
        Mar 27, 2019 to Oct 15, 2019
      • Other offices · 1 to 0
        Mar 27, 2019 to Oct 15, 2019
      • Individual clients · 7 to 8
        Mar 29, 2018 to Mar 27, 2019
      • Pension plan clients · 36 to 35
        Mar 29, 2018 to Mar 27, 2019
      • Individual RAUM · $2.5M to $5.4M
        Mar 29, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $66.9M to $62.6M
        Mar 29, 2018 to Mar 27, 2019
      • Pension RAUM · $64.4M to $57.2M
        Mar 29, 2018 to Mar 27, 2019
      • RAUM · $66.9M to $62.6M
        Mar 29, 2018 to Mar 27, 2019
      • Accounts · 39 to 43
        Jul 25, 2017 to Mar 29, 2018
      • Individual clients · unset to 7.0
        Jul 25, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 36.0
        Jul 25, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Jul 25, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 2534339.0
        Jul 25, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $58.7M to $66.9M
        Jul 25, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 64378952.0
        Jul 25, 2017 to Mar 29, 2018
      • RAUM · $58.7M to $66.9M
        Jul 25, 2017 to Mar 29, 2018
      • Accounts · 37 to 39
        Mar 24, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $55.4M to $58.7M
        Mar 24, 2016 to Mar 30, 2017
      • RAUM · $55.4M to $58.7M
        Mar 24, 2016 to Mar 30, 2017
      • Accounts · 39 to 37
        Apr 20, 2015 to Mar 24, 2016
      • Non-discretionary RAUM · $58.0M to $55.4M
        Apr 20, 2015 to Mar 24, 2016
      • RAUM · $58.0M to $55.4M
        Apr 20, 2015 to Mar 24, 2016
      • Accounts · 40 to 39
        Mar 27, 2014 to Mar 25, 2015
      • Employees · 7 to 6
        Mar 27, 2014 to Mar 25, 2015
      • Non-discretionary RAUM · $58.3M to $58.0M
        Mar 27, 2014 to Mar 25, 2015
      • RAUM · $58.3M to $58.0M
        Mar 27, 2014 to Mar 25, 2015
      • Accounts · 42 to 40
        Mar 20, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $56.8M to $58.3M
        Mar 20, 2013 to Mar 27, 2014
      • RAUM · $56.8M to $58.3M
        Mar 20, 2013 to Mar 27, 2014
      • Accounts · 39 to 42
        Mar 26, 2012 to Mar 20, 2013
      • Advisory employees · unset to 2.0
        Mar 26, 2012 to Mar 20, 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.
      How to reach
      public business contact points only, each with its source
      Website
      PensionParameters.comreportedpublic record, Form ADV, Sep 21, 2026
      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
      $77.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026