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J••• T• M•••••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $57.8M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$57.8M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
-41%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $57.8M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 119933 · SEC 801-119291 · 18 filingsShow
CRD 119933SEC 801-119291First filing on the tape Jul 16, 2020, latest Oct 31, 2025SEC status approved since Mar 24, 2021IAPD
RAUM
$57.8M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$57.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$57.8M
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
18 filings and snapshots on the tape
RAUM$57.8M as of Oct 31, 2025
Mar 22, 2021$133M then
HNW client RAUM$35.2M as of Oct 31, 2025
Mar 22, 2023$63.6M then
State-registered IARs (5.B.3)1 as of Oct 31, 2025
Mar 22, 20211 then
Employees (5.A)1 as of Oct 31, 2025
Mar 22, 20211 then
Private funds: no history
RAUM -41% over the last fiscal year-25% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 31, 2025; every figure names its basis
RAUM per advisor
$57.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
99derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$336,211derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-41%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.0%derived
Compensation
percentage of assets, fixed feesreportedItem 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)
  • 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$35.2M61%
  • Individuals$22.6M39%
Individual clients
87reported
HNW clients
12reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
172reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• T••••• M•••••••Certified Financial Planner, Chartered Financial ConsultantLong Boat Key, FlOct 15, 199926 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
      • M•••••••• J•••• T••••• · Managing Member / Ccocontrol
        since 05/2001 · owns 75% or more
      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
      • Assets in custody · 0.0 to unset
        Jul 30, 2025 to Oct 31, 2025
      • Custody of client assets · true to false
        Jul 30, 2025 to Oct 31, 2025
      • Financial planning clients · 51-100 to 51-100
        Jun 4, 2025 to Jul 30, 2025
      • Assets in custody · unset to 0.0
        Mar 21, 2025 to Jun 4, 2025
      • Custody of client assets · false to true
        Mar 21, 2025 to Jun 4, 2025
      • Accounts · 335 to 172
        Mar 30, 2024 to Mar 21, 2025
      • Charity clients · unset to 0.0
        Mar 30, 2024 to Mar 21, 2025
      • Corporate clients · unset to 0.0
        Mar 30, 2024 to Mar 21, 2025
      • HNW clients · 11 to 12
        Mar 30, 2024 to Mar 21, 2025
      • Individual clients · 89 to 87
        Mar 30, 2024 to Mar 21, 2025
      • Pension plan clients · unset to 0.0
        Mar 30, 2024 to Mar 21, 2025
      • Pooled vehicle clients · unset to 0.0
        Mar 30, 2024 to Mar 21, 2025
      • HQ city · unset to
        Mar 30, 2024 to Mar 21, 2025
      • HQ state · unset to
        Mar 30, 2024 to Mar 21, 2025
      • HNW RAUM · $55.7M to $35.2M
        Mar 30, 2024 to Mar 21, 2025
      • Individual RAUM · $43.0M to $22.6M
        Mar 30, 2024 to Mar 21, 2025
      • Non-discretionary RAUM · $98.8M to $57.8M
        Mar 30, 2024 to Mar 21, 2025
      • Pension RAUM · unset to 0.0
        Mar 30, 2024 to Mar 21, 2025
      • Pooled vehicle RAUM · unset to 0.0
        Mar 30, 2024 to Mar 21, 2025
      • RAUM · $98.8M to $57.8M
        Mar 30, 2024 to Mar 21, 2025
      • Accounts · 406 to 335
        Nov 28, 2023 to Mar 13, 2024
      • HNW clients · 34 to 11
        Nov 28, 2023 to Mar 13, 2024
      • Individual clients · 73 to 89
        Nov 28, 2023 to Mar 13, 2024
      • Financial planning clients · 101-250 to 51-100
        Nov 28, 2023 to Mar 13, 2024
      • HNW RAUM · $63.6M to $55.7M
        Nov 28, 2023 to Mar 13, 2024
      • Individual RAUM · $43.1M to $43.0M
        Nov 28, 2023 to Mar 13, 2024
      • Non-discretionary RAUM · $107M to $98.8M
        Nov 28, 2023 to Mar 13, 2024
      • RAUM · $107M to $98.8M
        Nov 28, 2023 to Mar 13, 2024
      • Succession · true to false
        Aug 11, 2023 to Nov 28, 2023
      • Succession · false to true
        Aug 1, 2023 to Aug 11, 2023
      • HQ city · SPOKANE to unset
        Mar 22, 2023 to Apr 14, 2023
      • HQ state · WA to unset
        Mar 22, 2023 to Apr 14, 2023
      • Accounts · 477 to 406
        Jan 24, 2023 to Mar 22, 2023
      • Advisory activities · 3 to 2
        Jan 24, 2023 to Mar 22, 2023
      • HNW clients · unset to 34.0
        Jan 24, 2023 to Mar 22, 2023
      • Individual clients · 107 to 73
        Jan 24, 2023 to Mar 22, 2023
      • HNW RAUM · unset to 63626413.0
        Jan 24, 2023 to Mar 22, 2023
      • Individual RAUM · $137M to $43.1M
        Jan 24, 2023 to Mar 22, 2023
      • Non-discretionary RAUM · $137M to $107M
        Jan 24, 2023 to Mar 22, 2023
      • RAUM · $137M to $107M
        Jan 24, 2023 to Mar 22, 2023
      Signals
      3 dated events
      • ••• Locked
        Feb 2, 2026 · Left the SEC roster · derived
      • ••• Locked
        Aug 11, 2023 · Succession (Item 4) · fact
      • ••• Locked
        Jul 16, 2020 · 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
      $57.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026