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Former SEC-registered adviserFormer SEC adviser· Towson, Maryland

Former SEC-registered adviser, based in Towson, Maryland, reporting $155M of regulatory assets.

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

Last reported RAUM
$155M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+9.7%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $154M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 4 Form ADV filings for this adviser, the latest 2.2 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 121747 · SEC 801-123550 · 4 filingsShow
CRD 121747SEC 801-123550First filing on the tape Feb 25, 2022, latest Jul 9, 2024IAPD
RAUM
$155M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$154M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$155M as of Feb 22, 2024
Feb 21, 2023$141M then
HNW client RAUM$96.6M as of Feb 22, 2024
Feb 21, 2023$78.0M then
State-registered IARs (5.B.3)1 as of Feb 22, 2024
Feb 21, 20231 then
Employees (5.A)1 as of Feb 22, 2024
Feb 21, 20231 then
Private funds: no history
RAUM +9.7% over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Jul 9, 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
$1.8MderivedHNW RAUM over HNW clients
Average account
$189,222derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.1%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
+9.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$96.6M62%
  • Individuals$57.8M37%
  • Charitable organizations$229,9490.1%
Individual clients
172reported
HNW clients
54reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
817reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••• E••••••••• P•••••• · Vice President; Cco; Trustee Of T••••• L. S•••••• I••••••••• Trustcontrol
    since 06/2024 · owns less than 5%
  • S••••••• E••••••••• P•••••• · Trusteecontrol
    since 06/2024 · owns 75% or more of T•• T••••• L• S•••••• I••••••••• T••••
Entity owners
  • T•• T••••• L• S•••••• I••••••••• T•••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 1 to 0
    Feb 22, 2024 to Jul 9, 2024
  • Advisory activities · 3 to 1
    Feb 22, 2024 to Jul 9, 2024
  • BD registered reps · 1 to 0
    Feb 22, 2024 to Jul 9, 2024
  • Employees · 1 to 3
    Feb 22, 2024 to Jul 9, 2024
  • State-registered IARs · 1 to 0
    Feb 22, 2024 to Jul 9, 2024
  • Accounts · 850 to 817
    Feb 21, 2023 to Feb 22, 2024
  • HNW clients · 45 to 54
    Feb 21, 2023 to Feb 22, 2024
  • Individual clients · 185 to 172
    Feb 21, 2023 to Feb 22, 2024
  • HNW RAUM · $78.0M to $96.6M
    Feb 21, 2023 to Feb 22, 2024
  • Individual RAUM · $62.8M to $57.8M
    Feb 21, 2023 to Feb 22, 2024
  • Non-discretionary RAUM · $141M to $155M
    Feb 21, 2023 to Feb 22, 2024
  • RAUM · $141M to $155M
    Feb 21, 2023 to Feb 22, 2024
  • Accounts · 854 to 850
    Feb 25, 2022 to Feb 21, 2023
  • HNW clients · 55 to 45
    Feb 25, 2022 to Feb 21, 2023
  • Individual clients · 174 to 185
    Feb 25, 2022 to Feb 21, 2023
  • HNW RAUM · $98.1M to $78.0M
    Feb 25, 2022 to Feb 21, 2023
  • Individual RAUM · $58.6M to $62.8M
    Feb 25, 2022 to Feb 21, 2023
  • Non-discretionary RAUM · $157M to $141M
    Feb 25, 2022 to Feb 21, 2023
  • RAUM · $157M to $141M
    Feb 25, 2022 to Feb 21, 2023
Signals
3 dated events
  • ••• Locked
    Jul 9, 2024 · Control person left · inference
  • ••• Locked
    Jul 9, 2024 · Control person joined · fact
  • ••• Locked
    Feb 25, 2022 · 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