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Former SEC-registered adviser

C•• I••••••••• A•••••••

Former SEC-registered adviserVirginia Beach, VirginiaCRD 116170SEC 801-110968IAPD
Legal name C•• I••••••••• A•••••••• L•••••
Latest filing Mar 22, 2022
First filing on the tape Jul 3, 2017 · 7 filings
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$273M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$278M as of Mar 22, 2022
Mar 21, 2018$131M then
HNW client RAUM$255M as of Mar 22, 2022
Mar 21, 2018$107M then
State-registered IARs (5.B.3)3 as of Mar 22, 2022
Mar 21, 20183 then
Employees (5.A)3 as of Mar 22, 2022
Mar 21, 20183 then
Private funds: no history
RAUM +20% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 22, 2022; every figure names its basis
RAUM per advisor
$92.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
78derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$666,058derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 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
+4.9%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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$255M92%
  • Individuals$18.6M6.7%
  • Charitable organizations$3.2M1.2%
Individual clients
78reported
HNW clients
156reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
418reported
Financial planning clients
n/areported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
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
    • S•••••••• G•••••• L••• · Managing Membercontrol
      since 06/2000 · owns 50% to 75%
    • T•••••• T•••••••• G•••••• · Managing Member/Chief Compliance Officercontrol
      since 06/2000 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • G••••• L• S•••••••
      insurancen
    • T••••••• G• T•••••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 395 to 418
      Mar 23, 2021 to Mar 22, 2022
    • HNW clients · 152 to 156
      Mar 23, 2021 to Mar 22, 2022
    • Individual clients · 71 to 78
      Mar 23, 2021 to Mar 22, 2022
    • Discretionary RAUM · $231M to $278M
      Mar 23, 2021 to Mar 22, 2022
    • HNW RAUM · $210M to $255M
      Mar 23, 2021 to Mar 22, 2022
    • Individual RAUM · $16.3M to $18.6M
      Mar 23, 2021 to Mar 22, 2022
    • RAUM · $231M to $278M
      Mar 23, 2021 to Mar 22, 2022
    • Accounts · 361 to 395
      Jun 18, 2020 to Mar 23, 2021
    • HNW clients · 124 to 152
      Jun 18, 2020 to Mar 23, 2021
    • Individual clients · 84 to 71
      Jun 18, 2020 to Mar 23, 2021
    • Discretionary RAUM · $182M to $231M
      Jun 18, 2020 to Mar 23, 2021
    • HNW RAUM · $157M to $210M
      Jun 18, 2020 to Mar 23, 2021
    • Individual RAUM · $20.8M to $16.3M
      Jun 18, 2020 to Mar 23, 2021
    • RAUM · $182M to $231M
      Jun 18, 2020 to Mar 23, 2021
    • Accounts · 322 to 361
      Mar 13, 2019 to Mar 16, 2020
    • HNW clients · 113 to 124
      Mar 13, 2019 to Mar 16, 2020
    • Discretionary RAUM · $154M to $182M
      Mar 13, 2019 to Mar 16, 2020
    • HNW RAUM · $131M to $157M
      Mar 13, 2019 to Mar 16, 2020
    • Individual RAUM · $20.0M to $20.8M
      Mar 13, 2019 to Mar 16, 2020
    • RAUM · $154M to $182M
      Mar 13, 2019 to Mar 16, 2020
    • Accounts · 290 to 322
      Mar 21, 2018 to Mar 13, 2019
    • HNW clients · 102 to 113
      Mar 21, 2018 to Mar 13, 2019
    • Individual clients · 76 to 84
      Mar 21, 2018 to Mar 13, 2019
    • Discretionary RAUM · $131M to $154M
      Mar 21, 2018 to Mar 13, 2019
    • HNW RAUM · $107M to $131M
      Mar 21, 2018 to Mar 13, 2019
    • Individual RAUM · $20.1M to $20.0M
      Mar 21, 2018 to Mar 13, 2019
    • RAUM · $131M to $154M
      Mar 21, 2018 to Mar 13, 2019
    • Accounts · 270 to 290
      Jul 3, 2017 to Mar 21, 2018
    • HNW clients · unset to 102.0
      Jul 3, 2017 to Mar 21, 2018
    • Individual clients · unset to 76.0
      Jul 3, 2017 to Mar 21, 2018
    • Other offices · unset to 0.0
      Jul 3, 2017 to Mar 21, 2018
    • Discretionary RAUM · $114M to $131M
      Jul 3, 2017 to Mar 21, 2018
    • HNW RAUM · unset to 106524642.0
      Jul 3, 2017 to Mar 21, 2018
    • Individual RAUM · unset to 20118921.0
      Jul 3, 2017 to Mar 21, 2018
    • RAUM · $114M to $131M
      Jul 3, 2017 to Mar 21, 2018
    Signals
    3 dated events
    • G••••• L••• S••••••• left C•• I••••••••• A••••••• for N•••••• A••••••• (registered 2022-11-14)
      Nov 21, 2022 · Advisor changed firm · fact
    • C•••• D•••• P••••• left C•• I••••••••• A••••••• for N•••••• A••••••• (registered 2022-09-20)
      Sep 20, 2022 · Advisor changed firm · fact
    • C•• I••••••••• A••••••• filed its initial SEC registration (Form ADV)
      Jul 3, 2017 · First SEC registration · fact
    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