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Former SEC-registered adviser

A••••••••• F•••••••• S•••••••

Former SEC-registered adviserLexington, MassachusettsCRD 130004SEC 801-100368IAPD
Legal name A••••••••• J•••• S••••••
Latest filing Mar 15, 2022
First filing on the tape Mar 27, 2012 · 14 filings
RAUM
$210M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
58%
$122M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$210M as of Mar 15, 2022
Mar 27, 2012$64.6M then
HNW client RAUM$117M as of Mar 15, 2022
Feb 20, 2018$67.1M then
State-registered IARs (5.B.3)2 as of Mar 15, 2022
Mar 27, 20120 then
Employees (5.A)3 as of Mar 15, 2022
Mar 17, 20163 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 15, 2022; every figure names its basis
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+23%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$117M85%
  • Charitable organizations$9.4M6.9%
  • Individuals$5.3M3.9%
  • Pension and profit-sharing plans$5.2M3.8%
Individual clients
88reported
HNW clients
59reported
Pension plan clients
2reported
Charitable clients
4reported
Accounts
158reported
Financial planning clients
11-25reported
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
      • A••••••••• J••••• S•••••• · Sole Proprietor & Chief Compliance Officercontrol
        since 04/1994 · 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
      • Accounts · 161 to 158
        Aug 25, 2021 to Mar 15, 2022
      • Charity clients · 3 to 4
        Aug 25, 2021 to Mar 15, 2022
      • HNW clients · 54 to 59
        Aug 25, 2021 to Mar 15, 2022
      • Individual clients · 66 to 88
        Aug 25, 2021 to Mar 15, 2022
      • Pension plan clients · 3 to 2
        Aug 25, 2021 to Mar 15, 2022
      • Assets in custody · 4940042.0 to unset
        Aug 25, 2021 to Mar 15, 2022
      • Custody of client assets · true to false
        Aug 25, 2021 to Mar 15, 2022
      • Financial planning clients · 101-250 to 11-25
        Aug 25, 2021 to Mar 15, 2022
      • Discretionary RAUM · $169M to $204M
        Aug 25, 2021 to Mar 15, 2022
      • HNW RAUM · $85.4M to $117M
        Aug 25, 2021 to Mar 15, 2022
      • Individual RAUM · $18.3M to $5.3M
        Aug 25, 2021 to Mar 15, 2022
      • Non-discretionary RAUM · $13.2M to $5.2M
        Aug 25, 2021 to Mar 15, 2022
      • Pension RAUM · $13.2M to $5.2M
        Aug 25, 2021 to Mar 15, 2022
      • RAUM · $182M to $210M
        Aug 25, 2021 to Mar 15, 2022
      • Assets in custody · unset to 4940042.0
        Feb 9, 2021 to Aug 19, 2021
      • Custody of client assets · false to true
        Feb 9, 2021 to Aug 19, 2021
      • Accounts · 164 to 161
        Feb 25, 2020 to Feb 9, 2021
      • Individual clients · 49 to 66
        Feb 25, 2020 to Feb 9, 2021
      • Discretionary RAUM · $160M to $169M
        Feb 25, 2020 to Feb 9, 2021
      • HNW RAUM · $81.7M to $85.4M
        Feb 25, 2020 to Feb 9, 2021
      • Individual RAUM · $13.6M to $18.3M
        Feb 25, 2020 to Feb 9, 2021
      • Non-discretionary RAUM · $11.3M to $13.2M
        Feb 25, 2020 to Feb 9, 2021
      • Pension RAUM · $11.3M to $13.2M
        Feb 25, 2020 to Feb 9, 2021
      • RAUM · $171M to $182M
        Feb 25, 2020 to Feb 9, 2021
      • Accounts · 175 to 164
        Mar 26, 2019 to Feb 25, 2020
      • Individual clients · 47 to 49
        Mar 26, 2019 to Feb 25, 2020
      • Discretionary RAUM · $135M to $160M
        Mar 26, 2019 to Feb 25, 2020
      • HNW RAUM · $69.9M to $81.7M
        Mar 26, 2019 to Feb 25, 2020
      • Individual RAUM · $8.4M to $13.6M
        Mar 26, 2019 to Feb 25, 2020
      • Non-discretionary RAUM · $8.4M to $11.3M
        Mar 26, 2019 to Feb 25, 2020
      • Pension RAUM · $8.4M to $11.3M
        Mar 26, 2019 to Feb 25, 2020
      • RAUM · $143M to $171M
        Mar 26, 2019 to Feb 25, 2020
      • Accounts · 185 to 175
        Feb 20, 2018 to Mar 26, 2019
      • Individual clients · 57 to 47
        Feb 20, 2018 to Mar 26, 2019
      • Discretionary RAUM · $132M to $135M
        Feb 20, 2018 to Mar 26, 2019
      • HNW RAUM · $67.1M to $69.9M
        Feb 20, 2018 to Mar 26, 2019
      • Individual RAUM · $23.2M to $8.4M
        Feb 20, 2018 to Mar 26, 2019
      • Non-discretionary RAUM · $8.0M to $8.4M
        Feb 20, 2018 to Mar 26, 2019
      • Pension RAUM · $8.0M to $8.4M
        Feb 20, 2018 to Mar 26, 2019
      • RAUM · $140M to $143M
        Feb 20, 2018 to Mar 26, 2019
      Signals
      1 dated events
      • ••• Locked
        Jun 5, 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