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Former SEC-registered adviser

S••••••• L••• A••••••• L••

Former SEC-registered adviserCRD 119650SEC 801-80587IAPD
Latest filing Jan 26, 2022
First filing on the tape Mar 22, 2012 · 14 filings
RAUM
$85.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$85.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$85.0M as of Jan 26, 2022
Mar 22, 2012$82.7M then
HNW client RAUM$84.2M as of Jan 26, 2022
Feb 8, 2018$124M then
State-registered IARs (5.B.3)2 as of Jan 26, 2022
Mar 22, 20120 then
Employees (5.A)2 as of Jan 26, 2022
Mar 6, 20152 then
Private funds: no history
RAUM -13% over the last fiscal year-13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 26, 2022; every figure names its basis
RAUM per advisor
$42.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
6derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.4MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-39%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$84.2M99%
  • Individuals$787,3000.9%
Individual clients
1reported
HNW clients
10reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
67reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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•••• J•••••••• D•••• · Managing Member And Chief Compliance Officercontrol
        since 08/2000 · owns 50% to 75%
      • S•••••••• G••••••• N•••••• · Managing Membercontrol
        since 08/2000 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • G•••••• N• S•••••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 111 to 67
        Mar 2, 2021 to Jan 26, 2022
      • HNW clients · 16 to 10
        Mar 2, 2021 to Jan 26, 2022
      • Individual clients · 2 to 1
        Mar 2, 2021 to Jan 26, 2022
      • Discretionary RAUM · $94.4M to $85.0M
        Mar 2, 2021 to Jan 26, 2022
      • HNW RAUM · $96.8M to $84.2M
        Mar 2, 2021 to Jan 26, 2022
      • Individual RAUM · $1.4M to $787,300
        Mar 2, 2021 to Jan 26, 2022
      • Non-discretionary RAUM · $3.7M to $0
        Mar 2, 2021 to Jan 26, 2022
      • RAUM · $98.2M to $85.0M
        Mar 2, 2021 to Jan 26, 2022
      • Accounts · 94 to 111
        May 21, 2020 to Mar 2, 2021
      • HNW clients · 15 to 16
        May 21, 2020 to Mar 2, 2021
      • Discretionary RAUM · $123M to $94.4M
        May 21, 2020 to Mar 2, 2021
      • HNW RAUM · $122M to $96.8M
        May 21, 2020 to Mar 2, 2021
      • Individual RAUM · $817,734 to $1.4M
        May 21, 2020 to Mar 2, 2021
      • Non-discretionary RAUM · $0 to $3.7M
        May 21, 2020 to Mar 2, 2021
      • RAUM · $123M to $98.2M
        May 21, 2020 to Mar 2, 2021
      • Accounts · 100 to 94
        Mar 7, 2019 to Feb 25, 2020
      • Individual clients · 3 to 2
        Mar 7, 2019 to Feb 25, 2020
      • Discretionary RAUM · $127M to $123M
        Mar 7, 2019 to Feb 25, 2020
      • HNW RAUM · $126M to $122M
        Mar 7, 2019 to Feb 25, 2020
      • Individual RAUM · $1.6M to $817,734
        Mar 7, 2019 to Feb 25, 2020
      • RAUM · $127M to $123M
        Mar 7, 2019 to Feb 25, 2020
      • Accounts · 95 to 100
        Feb 10, 2018 to Mar 7, 2019
      • Individual clients · 4 to 3
        Feb 10, 2018 to Mar 7, 2019
      • Discretionary RAUM · $126M to $127M
        Feb 10, 2018 to Mar 7, 2019
      • HNW RAUM · $124M to $126M
        Feb 10, 2018 to Mar 7, 2019
      • Individual RAUM · $2.2M to $1.6M
        Feb 10, 2018 to Mar 7, 2019
      • RAUM · $126M to $127M
        Feb 10, 2018 to Mar 7, 2019
      • Accounts · 96 to 95
        Mar 9, 2017 to Feb 8, 2018
      • Charity clients · unset to 0.0
        Mar 9, 2017 to Feb 8, 2018
      • Corporate clients · unset to 0.0
        Mar 9, 2017 to Feb 8, 2018
      • HNW clients · unset to 15.0
        Mar 9, 2017 to Feb 8, 2018
      • Individual clients · unset to 4.0
        Mar 9, 2017 to Feb 8, 2018
      • Pension plan clients · unset to 0.0
        Mar 9, 2017 to Feb 8, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 9, 2017 to Feb 8, 2018
      • Other offices · unset to 0.0
        Mar 9, 2017 to Feb 8, 2018
      • Discretionary RAUM · $114M to $126M
        Mar 9, 2017 to Feb 8, 2018
      • HNW RAUM · unset to 123970110.0
        Mar 9, 2017 to Feb 8, 2018
      • Individual RAUM · unset to 2186772.0
        Mar 9, 2017 to Feb 8, 2018
      • RAUM · $114M to $126M
        Mar 9, 2017 to Feb 8, 2018
      • Accounts · 86 to 96
        Aug 24, 2016 to Mar 9, 2017
      Signals
      1 dated events
      • S••••••• L••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 5, 2014 · 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