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Former SEC-registered adviser

L•••• C•••••• M••••••••• L•••••

Former SEC-registered adviserRed Bank, New JerseyCRD 112050SEC 801-57997IAPD
Latest filing Jun 25, 2020
First filing on the tape Mar 29, 2012 · 18 filings
RAUM
$219M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
88%
$192M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$219M as of Apr 29, 2020
Mar 29, 2012$605M then
HNW client RAUM$48.9M as of Apr 29, 2020
Mar 26, 2018$39.8M then
State-registered IARs (5.B.3)4 as of Apr 29, 2020
Mar 22, 20135 then
Employees (5.A)5 as of Apr 29, 2020
Mar 22, 201315 then
Private funds3 as of Mar 28, 2017
Mar 29, 20127 then
RAUM +20% over the last fiscal year+6.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 25, 2020; every figure names its basis
RAUM per advisor
$54.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
77derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.4MderivedHNW RAUM over HNW clients
Average account
$689,703derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.1%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$219MreportedItem 5.I
Ownership
controlled by a public reporting companyderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$143M65%
  • High-net-worth individuals$48.9M22%
  • Charitable organizations$23.9M11%
  • Pension and profit-sharing plans$2.8M1.3%
Individual clients
297reported
HNW clients
11reported
Pension plan clients
2reported
Charitable clients
2reported
Accounts
317reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••• E••••• V••••••• I•• L•no longer reportedPrivate Equity Fund$58.8M45Mar 29, 2012
      L•••• E••••• T•••• R••••• O•••••••• L•••no longer reportedHedge Fund$31.3M57Mar 29, 2012
      L•••• E••••• T•••• R••••• P•••••••• L•no longer reportedHedge Fund$26.3M42Mar 29, 2012
      L•••• E••••• T•••• R••••• P••••••• I•• L•no longer reportedHedge Fund$11.7M16Mar 29, 2012
      L•••• E••••• F•••no longer reportedHedge Fund$10.0M1Mar 29, 2012
      L•••• E••••• V••••••• I••• L•no longer reportedPrivate Equity Fund$25,00029Mar 29, 2012
      L•••• E••••• T•••• R••••• M••••• F•••• L•no longer reportedHedge Fund$01Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• B••••• T••••• · Sr. Portfolio Manager - Ccocontrol
        since 09/2004 · owns less than 5%
      • S•••••• R••• · Principalcontrol
        since 06/2007 · owns 50% to 75%
      • S••••••••• M••••••• B•••• · Sr. Portfolio Managercontrol
        since 06/2006 · owns less than 5%
      • V••••• R•••••• J• · Principalcontrol
        since 01/2013 · 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 · 323 to 317
        Mar 26, 2019 to Apr 29, 2020
      • Individual clients · 307 to 297
        Mar 26, 2019 to Apr 29, 2020
      • Pension plan clients · 3 to 2
        Mar 26, 2019 to Apr 29, 2020
      • Financial planning clients · 11-25 to 26-50
        Mar 26, 2019 to Apr 29, 2020
      • Discretionary RAUM · $181M to $218M
        Mar 26, 2019 to Apr 29, 2020
      • HNW RAUM · $41.9M to $48.9M
        Mar 26, 2019 to Apr 29, 2020
      • Individual RAUM · $118M to $143M
        Mar 26, 2019 to Apr 29, 2020
      • Non-discretionary RAUM · $944,000 to $1.1M
        Mar 26, 2019 to Apr 29, 2020
      • Pension RAUM · $2.3M to $2.8M
        Mar 26, 2019 to Apr 29, 2020
      • RAUM · $182M to $219M
        Mar 26, 2019 to Apr 29, 2020
      • Accounts · 516 to 323
        Mar 27, 2018 to Mar 26, 2019
      • HNW clients · 8 to 11
        Mar 27, 2018 to Mar 26, 2019
      • Individual clients · 301 to 307
        Mar 27, 2018 to Mar 26, 2019
      • Employees · 6 to 5
        Mar 27, 2018 to Mar 26, 2019
      • Discretionary RAUM · $203M to $181M
        Mar 27, 2018 to Mar 26, 2019
      • HNW RAUM · $39.8M to $41.9M
        Mar 27, 2018 to Mar 26, 2019
      • Individual RAUM · $139M to $118M
        Mar 27, 2018 to Mar 26, 2019
      • Non-discretionary RAUM · $1.1M to $944,000
        Mar 27, 2018 to Mar 26, 2019
      • Pension RAUM · $2.6M to $2.3M
        Mar 27, 2018 to Mar 26, 2019
      • RAUM · $204M to $182M
        Mar 27, 2018 to Mar 26, 2019
      • Discretionary RAUM · $203M to $203M
        Mar 27, 2018 to Mar 27, 2018
      • RAUM · $204M to $204M
        Mar 27, 2018 to Mar 27, 2018
      • Accounts · 417 to 516
        Aug 30, 2017 to Mar 26, 2018
      • Advisory employees · 5 to 4
        Aug 30, 2017 to Mar 26, 2018
      • Advisory activities · 5 to 2
        Aug 30, 2017 to Mar 26, 2018
      • Charity clients · unset to 2.0
        Aug 30, 2017 to Mar 26, 2018
      • HNW clients · unset to 8.0
        Aug 30, 2017 to Mar 26, 2018
      • Individual clients · unset to 301.0
        Aug 30, 2017 to Mar 26, 2018
      • Pension plan clients · unset to 3.0
        Aug 30, 2017 to Mar 26, 2018
      • Assets in custody · 93864.0 to unset
        Aug 30, 2017 to Mar 26, 2018
      • Custody of client assets · true to false
        Aug 30, 2017 to Mar 26, 2018
      • Employees · 7 to 6
        Aug 30, 2017 to Mar 26, 2018
      • State-registered IARs · 5 to 4
        Aug 30, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Aug 30, 2017 to Mar 26, 2018
      • Private funds · 3 to unset
        Aug 30, 2017 to Mar 26, 2018
      • Discretionary RAUM · $181M to $203M
        Aug 30, 2017 to Mar 26, 2018
      • HNW RAUM · unset to 39770714.0
        Aug 30, 2017 to Mar 26, 2018
      • Individual RAUM · unset to 139437654.0
        Aug 30, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · $1.3M to $1.1M
        Aug 30, 2017 to Mar 26, 2018
      • Pension RAUM · unset to 2551166.0
        Aug 30, 2017 to Mar 26, 2018
      Signals
      1 dated events
      • Ann Julie Gouveia (Chief Compliance Officer) no longer on Schedule A of L•••• C•••••• M••••••••• L••••• (listed 2018-03-27, absent 2019-03-26)
        Mar 26, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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