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Former SEC-registered adviser

P•••••• A••••••• L••

Former SEC-registered adviserArmonk, New YorkCRD 119183SEC 801-64486IAPD
Latest filing Sep 23, 2013
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$306M
reported, Item 5.F
Discretionary
100%
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$284M as of Mar 25, 2013
Mar 28, 2012$246M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2013
Mar 28, 20120 then
Employees (5.A): 5
Private funds: no history
RAUM +24% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 23, 2013; 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
$563,057derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+16%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
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$10.4M, 4 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
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
543reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$10.4M for 4 clientsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••• N•••••• G••••• · Membercontrol
        since 01/2002 · owns 75% or more
      • W•••• J•••• S•••••• · Chief Compliance Officercontrol
        since 01/2005 · owns less than 5%
      • L••• J••••• G••••• E•• · Member
        since 05/2013 · owns 5% to 10%
      • L••• J•••••••• E••••• · Member
        since 05/2013 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • N••••• G••••• L•• C••• P•••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 535 to 543
        Jul 22, 2013 to Sep 12, 2013
      • Discretionary RAUM · $284M to $305M
        Jul 22, 2013 to Sep 12, 2013
      • Non-discretionary RAUM · $815,040 to $839,045
        Jul 22, 2013 to Sep 12, 2013
      • RAUM · $284M to $306M
        Jul 22, 2013 to Sep 12, 2013
      • Accounts · 460 to 535
        Sep 19, 2012 to Mar 25, 2013
      • Advisory employees · unset to 4.0
        Sep 19, 2012 to Mar 25, 2013
      • Advisory activities · 5 to 6
        Sep 19, 2012 to Mar 25, 2013
      • Assets in custody · $9.8M to $10.4M
        Sep 19, 2012 to Mar 25, 2013
      • Employees · unset to 5.0
        Sep 19, 2012 to Mar 25, 2013
      • Discretionary RAUM · $243M to $284M
        Sep 19, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $2.7M to $815,040
        Sep 19, 2012 to Mar 25, 2013
      • RAUM · $246M to $284M
        Sep 19, 2012 to Mar 25, 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