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Former SEC-registered adviser

B•• M••••• F•••••••• L••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 130535SEC 801-72074IAPD
Latest filing Mar 29, 2019
First filing on the tape Dec 13, 2011 · 14 filings
RAUM
$25B
reported, Item 5.F
Discretionary
0.0%
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
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$25B as of Mar 29, 2019
Apr 2, 2012$4.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2019
Apr 2, 20120 then
Employees (5.A)2 as of Mar 29, 2019
Jul 16, 20136 then
Private funds: no history
RAUM +22% over the last fiscal year+4.8% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$25BderivedRAUM 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
$358MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
$9.2MreportedItem 5.I
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
  • Pension and profit-sharing plans$9.1B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
10reported
Charitable clients
n/areported
Accounts
71reported
Financial planning clients
0reported
Wrap fee programs
$9.2M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
fixedreported
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
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
    • P••••••• M••••• W•••••• · Senior Managing Member & Chief Compliance Officercontrol
      since 01/2014 · 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 · 25 to 71
      Jan 2, 2019 to Mar 29, 2019
    • Advisory employees · 2 to 1
      Jan 2, 2019 to Mar 29, 2019
    • Employees · 3 to 2
      Jan 2, 2019 to Mar 29, 2019
    • State-registered IARs · 2 to 1
      Jan 2, 2019 to Mar 29, 2019
    • Non-discretionary RAUM · $21B to $25B
      Jan 2, 2019 to Mar 29, 2019
    • Pension RAUM · $8.6B to $9.1B
      Jan 2, 2019 to Mar 29, 2019
    • RAUM · $21B to $25B
      Jan 2, 2019 to Mar 29, 2019
    • Wrap assets (sponsor) · $0 to $9.2M
      Jan 2, 2019 to Mar 29, 2019
    • Non-discretionary RAUM · $21B to $21B
      Mar 28, 2018 to Mar 29, 2018
    • RAUM · $21B to $21B
      Mar 28, 2018 to Mar 29, 2018
    • Accounts · 161 to 25
      Feb 1, 2018 to Mar 28, 2018
    • Pension plan clients · unset to 10.0
      Feb 1, 2018 to Mar 28, 2018
    • Discretionary RAUM · $22.0M to $0
      Feb 1, 2018 to Mar 28, 2018
    • Non-discretionary RAUM · $25B to $21B
      Feb 1, 2018 to Mar 28, 2018
    • Pension RAUM · unset to 8579898312.0
      Feb 1, 2018 to Mar 28, 2018
    • RAUM · $25B to $21B
      Feb 1, 2018 to Mar 28, 2018
    • Wrap assets (sponsor) · $21.0M to $0
      Feb 1, 2018 to Mar 28, 2018
    • Other offices · unset to 1.0
      Jun 15, 2017 to Feb 1, 2018
    • Wrap assets (manager) · unset to 0.0
      Jun 15, 2017 to Feb 1, 2018
    • Wrap assets (sponsor) · unset to 21000000.0
      Jun 15, 2017 to Feb 1, 2018
    • Accounts · 132 to 161
      Jun 28, 2016 to Jun 15, 2017
    • Employees · 4 to 3
      Jun 28, 2016 to Jun 15, 2017
    • Discretionary RAUM · $77.0M to $22.0M
      Jun 28, 2016 to Jun 15, 2017
    • Non-discretionary RAUM · $22B to $25B
      Jun 28, 2016 to Jun 15, 2017
    • RAUM · $22B to $25B
      Jun 28, 2016 to Jun 15, 2017
    • Accounts · 45 to 132
      Jan 8, 2016 to Jun 28, 2016
    • Advisory employees · 3 to 2
      Jan 8, 2016 to Jun 28, 2016
    • Advisory activities · 2 to 3
      Jan 8, 2016 to Jun 28, 2016
    • BD registered reps · 3 to 0
      Jan 8, 2016 to Jun 28, 2016
    • Employees · 5 to 4
      Jan 8, 2016 to Jun 28, 2016
    • Financial planning clients · 11-25 to 0
      Jan 8, 2016 to Jun 28, 2016
    • Discretionary RAUM · $0 to $77.0M
      Jan 8, 2016 to Jun 28, 2016
    • Non-discretionary RAUM · $4.9B to $22B
      Jan 8, 2016 to Jun 28, 2016
    • RAUM · $4.9B to $22B
      Jan 8, 2016 to Jun 28, 2016
    • Accounts · 26 to 45
      Jul 16, 2013 to Jan 27, 2014
    • Advisory employees · 4 to 3
      Jul 16, 2013 to Jan 27, 2014
    • BD registered reps · 5 to 3
      Jul 16, 2013 to Jan 27, 2014
    • Employees · 6 to 5
      Jul 16, 2013 to Jan 27, 2014
    • Non-discretionary RAUM · $4.0B to $4.9B
      Jul 16, 2013 to Jan 27, 2014
    • RAUM · $4.0B to $4.9B
      Jul 16, 2013 to Jan 27, 2014
    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