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Former SEC-registered adviser

S•••••••• A•••• M••••••••• I•••

Former SEC-registered adviserCanandaigua, New YorkCRD 125576SEC 801-81062IAPD
Latest filing Mar 21, 2017
First filing on the tape Feb 24, 2015 · 4 filings
RAUM
$25.5M
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
0.0%
$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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$25.5M as of Mar 21, 2017
Mar 7, 2016$27.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2017
Mar 7, 20160 then
Employees (5.A)1 as of Mar 21, 2017
Mar 7, 20161 then
Private funds: no history
RAUM -5.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2017; 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
unknownderivedHNW RAUM over HNW clients
Average account
$671,053derivedRAUM over accounts (5.F.2.f)
Discretionary
53%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-5.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
38reported
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
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
      • V••••• R•••••• J••• · Ceo Ccocontrol
        since 10/2000 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Farmington, NY
      • Wellesley Island, NY
      What changed
      consecutive filings, newest first
      • Accounts · 37 to 38
        Mar 7, 2016 to Mar 21, 2017
      • Discretionary RAUM · $13.0M to $13.5M
        Mar 7, 2016 to Mar 21, 2017
      • Non-discretionary RAUM · $14.0M to $12.0M
        Mar 7, 2016 to Mar 21, 2017
      • RAUM · $27.0M to $25.5M
        Mar 7, 2016 to Mar 21, 2017
      • Accounts · 39 to 37
        Feb 26, 2015 to Mar 7, 2016
      • Discretionary RAUM · $14.5M to $13.0M
        Feb 26, 2015 to Mar 7, 2016
      • Non-discretionary RAUM · $15.5M to $14.0M
        Feb 26, 2015 to Mar 7, 2016
      • RAUM · $30.0M to $27.0M
        Feb 26, 2015 to Mar 7, 2016
      Signals
      1 dated events
      • S•••••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        Feb 24, 2015 · 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