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Former SEC-registered adviser

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Former SEC-registered adviserNew York, New YorkCRD 129699SEC 801-62578IAPD
Latest filing Oct 24, 2019
First filing on the tape Mar 5, 2012 · 23 filings
RAUM
$166M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$146M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$166M as of Mar 29, 2019
Mar 5, 2012$326M then
HNW client RAUM$146M as of Mar 29, 2019
Mar 30, 2018$158M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 5, 20120 then
Employees (5.A)5 as of Mar 29, 2019
Mar 28, 201310 then
Private funds: no history
RAUM -7.7% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 24, 2019; 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
$847,110derivedHNW RAUM over HNW clients
Average account
$901,674derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.9%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
-7.7%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$146M88%
  • Corporations and businesses$16.2M9.8%
  • Pension and profit-sharing plans$3.1M1.9%
  • Other investment advisers$879,9490.5%
Individual clients
n/areported
HNW clients
172reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
184reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $16.8M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • W••••••••• E•••••• · President And Chief Compliance Officercontrol
        since 11/2003 · 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
      • Discretionary RAUM · $166M to $166M
        Mar 29, 2019 to Apr 10, 2019
      • Pension RAUM · $3.1M to $3.1M
        Mar 29, 2019 to Apr 10, 2019
      • RAUM · $166M to $166M
        Mar 29, 2019 to Apr 10, 2019
      • Accounts · 193 to 184
        May 18, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 3
        May 18, 2018 to Mar 29, 2019
      • Corporate clients · 9 to 8
        May 18, 2018 to Mar 29, 2019
      • HNW clients · 181 to 172
        May 18, 2018 to Mar 29, 2019
      • Pension plan clients · 3.0 to unset
        May 18, 2018 to Mar 29, 2019
      • Discretionary RAUM · $180M to $166M
        May 18, 2018 to Mar 29, 2019
      • HNW RAUM · $158M to $146M
        May 18, 2018 to Mar 29, 2019
      • Pension RAUM · $3.1M to $3.1M
        May 18, 2018 to Mar 29, 2019
      • RAUM · $180M to $166M
        May 18, 2018 to Mar 29, 2019
      • Wrap assets (manager) · $21.3M to $16.8M
        May 18, 2018 to Mar 29, 2019
      • Accounts · 200 to 193
        Sep 11, 2017 to Mar 30, 2018
      • Corporate clients · unset to 9.0
        Sep 11, 2017 to Mar 30, 2018
      • HNW clients · unset to 181.0
        Sep 11, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 3.0
        Sep 11, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Sep 11, 2017 to Mar 30, 2018
      • Discretionary RAUM · $166M to $180M
        Sep 11, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 158223748.0
        Sep 11, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 3087567.0
        Sep 11, 2017 to Mar 30, 2018
      • RAUM · $166M to $180M
        Sep 11, 2017 to Mar 30, 2018
      • Wrap assets (manager) · unset to 21269597.0
        Sep 11, 2017 to Mar 30, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Sep 11, 2017 to Mar 30, 2018
      • Accounts · 207 to 200
        Jul 3, 2017 to Sep 11, 2017
      • Discretionary RAUM · $183M to $166M
        Jul 3, 2017 to Sep 11, 2017
      • RAUM · $183M to $166M
        Jul 3, 2017 to Sep 11, 2017
      • Accounts · 302 to 207
        Mar 28, 2017 to Jul 3, 2017
      • Advisory employees · 6 to 4
        Mar 28, 2017 to Jul 3, 2017
      • Employees · 9 to 5
        Mar 28, 2017 to Jul 3, 2017
      • Discretionary RAUM · $334M to $183M
        Mar 28, 2017 to Jul 3, 2017
      • RAUM · $334M to $183M
        Mar 28, 2017 to Jul 3, 2017
      • Accounts · 329 to 302
        Mar 29, 2016 to Mar 28, 2017
      • Advisory employees · 7 to 6
        Mar 29, 2016 to Mar 28, 2017
      • Employees · 10 to 9
        Mar 29, 2016 to Mar 28, 2017
      • Discretionary RAUM · $469M to $334M
        Mar 29, 2016 to Mar 28, 2017
      • RAUM · $469M to $334M
        Mar 29, 2016 to Mar 28, 2017
      • Accounts · 348 to 329
        Jun 22, 2015 to Mar 29, 2016
      • Advisory employees · 6 to 7
        Jun 22, 2015 to Mar 29, 2016
      • Discretionary RAUM · $509M to $469M
        Jun 22, 2015 to Mar 29, 2016
      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