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SEC-registered adviser

C•••••• F•••••••• A••••••• L••

Independent wealth managerCRD 111815SEC 801-55098IAPD
Latest filing Mar 5, 2026
First filing on the tape Mar 30, 2012 · 15 filings
SEC status approved since Dec 31, 1997
RAUM
$68.4M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
96%
$65.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$68.4M as of Mar 5, 2026
Mar 30, 2012$35.5M then
HNW client RAUM$65.6M as of Mar 5, 2026
Mar 20, 2018$56.6M then
State-registered IARs (5.B.3)0 as of Mar 5, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Mar 5, 2026
Mar 28, 20131 then
Private funds: no history
RAUM +4.2% over the last fiscal year+3.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
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
$13.1MderivedHNW RAUM over HNW clients
Average account
$11.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
57%derivedof RAUM
Institutional
1.4%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
+4.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, 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
  • High-net-worth individuals$65.6M99%
  • Pension and profit-sharing plans$953,6301.4%
Individual clients
n/areported
HNW clients
5reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
Class basis
private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
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
      • V••••• R••••••• C• · Manager/Chief Compliance Officer/Ownercontrol
        since 05/1997 · owns 75% or more
      Related persons
      Schedule D 7.A
      • R•••••• C• V••••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 6
        Mar 7, 2025 to Mar 5, 2026
      • HNW clients · 6 to 5
        Mar 7, 2025 to Mar 5, 2026
      • Discretionary RAUM · $33.9M to $38.9M
        Mar 7, 2025 to Mar 5, 2026
      • HNW RAUM · $55.9M to $65.6M
        Mar 7, 2025 to Mar 5, 2026
      • Non-discretionary RAUM · $31.7M to $29.6M
        Mar 7, 2025 to Mar 5, 2026
      • Pension RAUM · $1.0M to $953,630
        Mar 7, 2025 to Mar 5, 2026
      • RAUM · $65.7M to $68.4M
        Mar 7, 2025 to Mar 5, 2026
      • Accounts · 10 to 8
        Mar 21, 2024 to Mar 7, 2025
      • Corporate clients · 1.0 to unset
        Mar 21, 2024 to Mar 7, 2025
      • HNW clients · 7 to 6
        Mar 21, 2024 to Mar 7, 2025
      • Financial planning clients · 0 to 0
        Mar 21, 2024 to Mar 7, 2025
      • HQ city · unset to
        Mar 21, 2024 to Mar 7, 2025
      • HQ state · unset to
        Mar 21, 2024 to Mar 7, 2025
      • Discretionary RAUM · $31.9M to $33.9M
        Mar 21, 2024 to Mar 7, 2025
      • HNW RAUM · $54.4M to $55.9M
        Mar 21, 2024 to Mar 7, 2025
      • Non-discretionary RAUM · $33.3M to $31.7M
        Mar 21, 2024 to Mar 7, 2025
      • Pension RAUM · $746,889 to $1.0M
        Mar 21, 2024 to Mar 7, 2025
      • RAUM · $65.2M to $65.7M
        Mar 21, 2024 to Mar 7, 2025
      • Accounts · 9 to 10
        Mar 24, 2023 to Mar 21, 2024
      • Corporate clients · unset to 1.0
        Mar 24, 2023 to Mar 21, 2024
      • Financial planning clients · 1-10 to 0
        Mar 24, 2023 to Mar 21, 2024
      • Discretionary RAUM · $31.9M to $31.9M
        Mar 24, 2023 to Mar 21, 2024
      • HNW RAUM · $51.7M to $54.4M
        Mar 24, 2023 to Mar 21, 2024
      • Non-discretionary RAUM · $30.4M to $33.3M
        Mar 24, 2023 to Mar 21, 2024
      • Pension RAUM · $1.6M to $746,889
        Mar 24, 2023 to Mar 21, 2024
      • RAUM · $62.4M to $65.2M
        Mar 24, 2023 to Mar 21, 2024
      • Discretionary RAUM · $33.7M to $31.9M
        Mar 15, 2022 to Mar 24, 2023
      • HNW RAUM · $56.0M to $51.7M
        Mar 15, 2022 to Mar 24, 2023
      • Non-discretionary RAUM · $35.5M to $30.4M
        Mar 15, 2022 to Mar 24, 2023
      • Pension RAUM · $2.2M to $1.6M
        Mar 15, 2022 to Mar 24, 2023
      • RAUM · $69.2M to $62.4M
        Mar 15, 2022 to Mar 24, 2023
      • Discretionary RAUM · $29.1M to $33.7M
        Mar 17, 2021 to Mar 15, 2022
      • HNW RAUM · $47.1M to $56.0M
        Mar 17, 2021 to Mar 15, 2022
      • Non-discretionary RAUM · $28.2M to $35.5M
        Mar 17, 2021 to Mar 15, 2022
      • Pension RAUM · $1.9M to $2.2M
        Mar 17, 2021 to Mar 15, 2022
      • RAUM · $57.3M to $69.2M
        Mar 17, 2021 to Mar 15, 2022
      • Discretionary RAUM · $30.6M to $29.1M
        Mar 2, 2020 to Mar 17, 2021
      • HNW RAUM · $37.1M to $47.1M
        Mar 2, 2020 to Mar 17, 2021
      • Non-discretionary RAUM · $16.9M to $28.2M
        Mar 2, 2020 to Mar 17, 2021
      • Pension RAUM · $1.6M to $1.9M
        Mar 2, 2020 to Mar 17, 2021
      Signals
      1 dated events
      • W Carl Stursberg (Manager) no longer on Schedule A of C•••••• F•••••••• A••••••• L•• (listed 2019-03-14, absent 2020-03-02)
        Mar 2, 2020 · Control person left · inference
      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
      Principal office phone
      9177631307reportedpublic record, Form ADV, Mar 5, 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
      Independent wealth managerderiveda 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