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Former SEC-registered adviser

A•••• A•••• C••••••••• L••

Former SEC-registered adviserCRD 122659SEC 801-61450IAPD
Latest filing Mar 24, 2025
First filing on the tape Mar 26, 2012 · 16 filings
SEC status approved since Sep 9, 2002
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
16 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Mar 24, 2025
Mar 22, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 24, 2025
Mar 26, 20120 then
Employees (5.A)1 as of Mar 24, 2025
Mar 27, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
pension consultingreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
5reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
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
      • J•••••• S•••••• R•••• · Presidentcontrol
        since 07/2002 · 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
      • HQ city · unset to
        Mar 22, 2024 to Mar 24, 2025
      • Accounts · unset to 0.0
        Mar 22, 2024 to Mar 24, 2025
      • Advisory activities · 2 to 1
        Mar 22, 2024 to Mar 24, 2025
      • Pension plan clients · 8 to 5
        Mar 22, 2024 to Mar 24, 2025
      • Financial planning clients · unset to
        Mar 22, 2024 to Mar 24, 2025
      • HQ state · unset to
        Mar 22, 2024 to Mar 24, 2025
      • Discretionary RAUM · unset to 0.0
        Mar 22, 2024 to Mar 24, 2025
      • Non-discretionary RAUM · unset to 0.0
        Mar 22, 2024 to Mar 24, 2025
      • RAUM · unset to 0.0
        Mar 22, 2024 to Mar 24, 2025
      • HNW clients · 5.0 to unset
        Mar 23, 2023 to Mar 22, 2024
      • Individual clients · unset to 0.0
        Mar 23, 2023 to Mar 22, 2024
      • HNW clients · 6 to 5
        Mar 22, 2022 to Mar 23, 2023
      • Pension plan clients · 9 to 8
        Mar 22, 2022 to Mar 23, 2023
      • HNW clients · 5 to 6
        Mar 21, 2019 to Mar 16, 2020
      • Pension plan clients · 8 to 9
        Mar 22, 2018 to Mar 21, 2019
      • Charity clients · unset to 0.0
        Mar 22, 2017 to Mar 22, 2018
      • Corporate clients · unset to 0.0
        Mar 22, 2017 to Mar 22, 2018
      • HNW clients · unset to 5.0
        Mar 22, 2017 to Mar 22, 2018
      • Pension plan clients · unset to 8.0
        Mar 22, 2017 to Mar 22, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 22, 2017 to Mar 22, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Mar 22, 2018
      • HNW RAUM · unset to 0.0
        Mar 22, 2017 to Mar 22, 2018
      • Individual RAUM · unset to 0.0
        Mar 22, 2017 to Mar 22, 2018
      • Pension RAUM · unset to 0.0
        Mar 22, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 22, 2017 to Mar 22, 2018
      • Advisory employees · unset to 1.0
        Mar 26, 2012 to Mar 27, 2013
      • Employees · unset to 1.0
        Mar 26, 2012 to Mar 27, 2013
      • State-registered IARs · 0 to 1
        Mar 26, 2012 to Mar 27, 2013
      Signals
      1 dated events
      • A•••• A•••• C••••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20)
        Jan 2, 2026 · Left the SEC roster · derived
      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