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Former SEC-registered adviserFormer SEC adviser· Larchmont, New York

Former SEC-registered adviser, based in Larchmont, New York, reporting $35.2M of regulatory assets.

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

Last reported RAUM
$35.2M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+23%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $35.2M
Form ADV
AdvisorsAdvisor 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 120511 · SEC 801-113211 · 9 filingsShow
CRD 120511SEC 801-113211First filing on the tape Apr 12, 2018, latest Mar 29, 2024SEC status approved since May 7, 2018IAPD
RAUM
$35.2M
reported, Item 5.F
Discretionary
11%
of RAUM
Private clients
100%
$35.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
9 filings and snapshots on the tape
RAUM$35.2M as of Mar 29, 2024
Feb 27, 2019$28.9M then
HNW client RAUM$3.7M as of Mar 29, 2024
Feb 27, 2019$22.9M then
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Feb 27, 20190 then
Employees (5.A)1 as of Mar 29, 2024
Feb 27, 20191 then
Private funds: no history
RAUM +23% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
$3.7MderivedHNW RAUM over HNW clients
Average account
$903,000derivedRAUM over accounts (5.F.2.f)
Discretionary
11%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-9.3%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
  • Individuals$31.5M89%
  • High-net-worth individuals$3.7M11%
Individual clients
38reported
HNW clients
1reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
39reported
Financial planning clients
1-10reported
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
      • C•••••••• J•••• M••• · Ccocontrol
        since 05/2000 · 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
      • HNW clients · 5 to 1
        Mar 21, 2024 to Mar 29, 2024
      • Individual clients · 28 to 38
        Mar 21, 2024 to Mar 29, 2024
      • Financial planning clients · 0 to 1-10
        Mar 21, 2024 to Mar 29, 2024
      • HNW RAUM · $18.2M to $3.7M
        Mar 21, 2024 to Mar 29, 2024
      • Individual RAUM · $17.0M to $31.5M
        Mar 21, 2024 to Mar 29, 2024
      • Accounts · 46 to 39
        Mar 7, 2023 to Mar 21, 2024
      • Advisory activities · 1 to 2
        Mar 7, 2023 to Mar 21, 2024
      • HNW clients · 6 to 5
        Mar 7, 2023 to Mar 21, 2024
      • Individual clients · 37 to 28
        Mar 7, 2023 to Mar 21, 2024
      • Financial planning clients · unset to 0
        Mar 7, 2023 to Mar 21, 2024
      • Discretionary RAUM · $3.0M to $3.7M
        Mar 7, 2023 to Mar 21, 2024
      • HNW RAUM · $21.9M to $18.2M
        Mar 7, 2023 to Mar 21, 2024
      • Individual RAUM · $6.7M to $17.0M
        Mar 7, 2023 to Mar 21, 2024
      • Non-discretionary RAUM · $25.7M to $31.5M
        Mar 7, 2023 to Mar 21, 2024
      • RAUM · $28.7M to $35.2M
        Mar 7, 2023 to Mar 21, 2024
      • Accounts · 48 to 46
        Feb 25, 2022 to Mar 7, 2023
      • HNW clients · 8 to 6
        Feb 25, 2022 to Mar 7, 2023
      • Individual clients · 16 to 37
        Feb 25, 2022 to Mar 7, 2023
      • Discretionary RAUM · $40.6M to $3.0M
        Feb 25, 2022 to Mar 7, 2023
      • HNW RAUM · $34.7M to $21.9M
        Feb 25, 2022 to Mar 7, 2023
      • Individual RAUM · $5.9M to $6.7M
        Feb 25, 2022 to Mar 7, 2023
      • Non-discretionary RAUM · $0 to $25.7M
        Feb 25, 2022 to Mar 7, 2023
      • RAUM · $40.6M to $28.7M
        Feb 25, 2022 to Mar 7, 2023
      • Accounts · 53 to 48
        Mar 18, 2021 to Feb 25, 2022
      • Individual clients · 17 to 16
        Mar 18, 2021 to Feb 25, 2022
      • Discretionary RAUM · $48.9M to $40.6M
        Mar 18, 2021 to Feb 25, 2022
      • HNW RAUM · $32.0M to $34.7M
        Mar 18, 2021 to Feb 25, 2022
      • Individual RAUM · $16.9M to $5.9M
        Mar 18, 2021 to Feb 25, 2022
      • RAUM · $48.9M to $40.6M
        Mar 18, 2021 to Feb 25, 2022
      • Accounts · 51 to 53
        May 22, 2020 to Mar 18, 2021
      • Advisory activities · 2 to 1
        May 22, 2020 to Mar 18, 2021
      • HNW clients · 7 to 8
        May 22, 2020 to Mar 18, 2021
      • Individual clients · 44 to 17
        May 22, 2020 to Mar 18, 2021
      • Financial planning clients · 1-10 to unset
        May 22, 2020 to Mar 18, 2021
      • Discretionary RAUM · $11.4M to $48.9M
        May 22, 2020 to Mar 18, 2021
      • HNW RAUM · $24.7M to $32.0M
        May 22, 2020 to Mar 18, 2021
      • Individual RAUM · $6.4M to $16.9M
        May 22, 2020 to Mar 18, 2021
      • Non-discretionary RAUM · $19.6M to $0
        May 22, 2020 to Mar 18, 2021
      • RAUM · $31.0M to $48.9M
        May 22, 2020 to Mar 18, 2021
      • Accounts · 55 to 51
        Feb 27, 2019 to Mar 18, 2020
      Signals
      2 dated events
      • ••• Locked
        Apr 1, 2026 · Left the SEC roster · derived
      • ••• Locked
        Apr 12, 2018 · 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