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Former SEC-registered adviser

O•••• C•••• M••••••••• I•••

Former SEC-registered adviserPalm Beach Gardens, FloridaCRD 127397SEC 801-62535IAPD
Latest filing Dec 19, 2016
First filing on the tape Dec 20, 2011 · 19 filings
RAUM
$71.3M
reported, Item 5.F
Discretionary
100%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$71.3M gross assets
History
19 filings and snapshots on the tape
RAUM$71.3M as of Mar 29, 2016
Mar 12, 2012$589M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Feb 21, 20130 then
Employees (5.A)6 as of Mar 29, 2016
Feb 21, 20139 then
Private funds2 as of Mar 29, 2016
Mar 12, 20122 then
RAUM -38% over the last fiscal year-51% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 19, 2016; 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
$35.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-38%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$71.3M, 2 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$71.3M for 2 clientsreported
Compensation
% of AUM, performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•••• C•••• P••••••• I• L•Hedge Fund$30.9M27Mar 12, 2012
      O•••• C•••• I••••••••• L•••Hedge Fund$9.4M3Mar 12, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J••••• A••••• · Chief Compliance Officercontrol
        since 08/2015 · owns less than 5%
      • L•••• R••••• K•••• · Presidentcontrol
        since 05/1991 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Stamford, CT
      What changed
      consecutive filings, newest first
      • HQ city · WEST PALM BEACH to PALM BEACH GARDENS
        Jun 10, 2016 to Dec 19, 2016
      • Assets in custody · $116M to $71.3M
        Sep 2, 2015 to Mar 29, 2016
      • Discretionary RAUM · $116M to $71.3M
        Sep 2, 2015 to Mar 29, 2016
      • RAUM · $116M to $71.3M
        Sep 2, 2015 to Mar 29, 2016
      • Employees · 7 to 6
        Aug 26, 2015 to Sep 2, 2015
      • Related adviser · false to true
        Aug 26, 2015 to Sep 2, 2015
      • Accounts · 3 to 2
        Mar 21, 2014 to Mar 13, 2015
      • Advisory activities · 2 to 1
        Mar 21, 2014 to Mar 13, 2015
      • Assets in custody · $169M to $116M
        Mar 21, 2014 to Mar 13, 2015
      • Discretionary RAUM · $323M to $116M
        Mar 21, 2014 to Mar 13, 2015
      • RAUM · $323M to $116M
        Mar 21, 2014 to Mar 13, 2015
      • Accounts · 2 to 3
        Jan 2, 2014 to Mar 10, 2014
      • Advisory employees · 4 to 3
        Jan 2, 2014 to Mar 10, 2014
      • Assets in custody · $256M to $169M
        Jan 2, 2014 to Mar 10, 2014
      • Employees · 9 to 7
        Jan 2, 2014 to Mar 10, 2014
      • Discretionary RAUM · $620M to $323M
        Jan 2, 2014 to Mar 10, 2014
      • RAUM · $620M to $323M
        Jan 2, 2014 to Mar 10, 2014
      • Advisory activities · 1 to 2
        Oct 23, 2013 to Jan 2, 2014
      • Advisory employees · unset to 4.0
        Mar 20, 2012 to Feb 21, 2013
      • Assets in custody · $257M to $256M
        Mar 20, 2012 to Feb 21, 2013
      • Employees · unset to 9.0
        Mar 20, 2012 to Feb 21, 2013
      • State-registered IARs · unset to 0.0
        Mar 20, 2012 to Feb 21, 2013
      • Discretionary RAUM · $589M to $620M
        Mar 20, 2012 to Feb 21, 2013
      • RAUM · $589M to $620M
        Mar 20, 2012 to Feb 21, 2013
      • Assets in custody · $443M to $257M
        Dec 20, 2011 to Mar 12, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 20, 2011 to Mar 12, 2012
      • Private funds · unset to 2
        Dec 20, 2011 to Mar 12, 2012
      • Discretionary RAUM · $443M to $589M
        Dec 20, 2011 to Mar 12, 2012
      • RAUM · $443M to $589M
        Dec 20, 2011 to Mar 12, 2012
      Signals
      No event on the tape.
      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