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Former SEC-registered adviser

N•••• C••••• A•••••••• L••

Former SEC-registered adviserCRD 131182SEC 801-74556IAPD
Latest filing Jan 25, 2021
First filing on the tape Mar 8, 2012 · 17 filings
RAUM
$52.9M
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
95%
$50.2M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$52.9M as of Jan 25, 2021
Feb 19, 2013$28.2M then
HNW client RAUM$49.1M as of Jan 25, 2021
Feb 1, 2018$43.7M then
State-registered IARs (5.B.3)1 as of Jan 25, 2021
Feb 19, 20131 then
Employees (5.A)1 as of Jan 25, 2021
Feb 19, 20131 then
Private funds: no history
RAUM +3.7% over the last fiscal year+3.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 25, 2021; every figure names its basis
RAUM per advisor
$52.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$637,290derivedRAUM over accounts (5.F.2.f)
Discretionary
44%derivedof RAUM
Institutional
5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.0%derived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$49.1M93%
  • Pension and profit-sharing plans$2.7M5.0%
  • Individuals$1.1M2.2%
Individual clients
8reported
HNW clients
24reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
83reported
Financial planning clients
n/areported
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
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••••••••• S•••• J•• · Manager/Chief Compliance Officercontrol
      since 03/2004 · 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 · 85 to 83
      May 12, 2020 to Jan 25, 2021
    • HNW clients · 25 to 24
      May 12, 2020 to Jan 25, 2021
    • Discretionary RAUM · $21.6M to $23.3M
      May 12, 2020 to Jan 25, 2021
    • HNW RAUM · $47.5M to $49.1M
      May 12, 2020 to Jan 25, 2021
    • Individual RAUM · $1.1M to $1.1M
      May 12, 2020 to Jan 25, 2021
    • Non-discretionary RAUM · $29.5M to $29.6M
      May 12, 2020 to Jan 25, 2021
    • Pension RAUM · $2.4M to $2.7M
      May 12, 2020 to Jan 25, 2021
    • RAUM · $51.0M to $52.9M
      May 12, 2020 to Jan 25, 2021
    • Accounts · 89 to 85
      Feb 7, 2019 to Feb 3, 2020
    • Individual clients · 9 to 8
      Feb 7, 2019 to Feb 3, 2020
    • Discretionary RAUM · $17.2M to $21.6M
      Feb 7, 2019 to Feb 3, 2020
    • HNW RAUM · $41.3M to $47.5M
      Feb 7, 2019 to Feb 3, 2020
    • Individual RAUM · $1.0M to $1.1M
      Feb 7, 2019 to Feb 3, 2020
    • Non-discretionary RAUM · $27.3M to $29.5M
      Feb 7, 2019 to Feb 3, 2020
    • Pension RAUM · $2.1M to $2.4M
      Feb 7, 2019 to Feb 3, 2020
    • RAUM · $44.5M to $51.0M
      Feb 7, 2019 to Feb 3, 2020
    • Accounts · 93 to 89
      Feb 1, 2018 to Feb 7, 2019
    • Individual clients · 10 to 9
      Feb 1, 2018 to Feb 7, 2019
    • Discretionary RAUM · $20.2M to $17.2M
      Feb 1, 2018 to Feb 7, 2019
    • HNW RAUM · $43.7M to $41.3M
      Feb 1, 2018 to Feb 7, 2019
    • Individual RAUM · $1.4M to $1.0M
      Feb 1, 2018 to Feb 7, 2019
    • Non-discretionary RAUM · $27.1M to $27.3M
      Feb 1, 2018 to Feb 7, 2019
    • Pension RAUM · $2.2M to $2.1M
      Feb 1, 2018 to Feb 7, 2019
    • RAUM · $47.3M to $44.5M
      Feb 1, 2018 to Feb 7, 2019
    • Accounts · 103 to 93
      Jan 18, 2017 to Feb 1, 2018
    • HNW clients · unset to 25.0
      Jan 18, 2017 to Feb 1, 2018
    • Individual clients · unset to 10.0
      Jan 18, 2017 to Feb 1, 2018
    • Other offices · unset to 0.0
      Jan 18, 2017 to Feb 1, 2018
    • Discretionary RAUM · $14.5M to $20.2M
      Jan 18, 2017 to Feb 1, 2018
    • HNW RAUM · unset to 43727987.0
      Jan 18, 2017 to Feb 1, 2018
    • Individual RAUM · unset to 1377715.0
      Jan 18, 2017 to Feb 1, 2018
    • Non-discretionary RAUM · $27.1M to $27.1M
      Jan 18, 2017 to Feb 1, 2018
    • Pension RAUM · unset to 2221973.0
      Jan 18, 2017 to Feb 1, 2018
    • RAUM · $41.6M to $47.3M
      Jan 18, 2017 to Feb 1, 2018
    • Accounts · 100 to 103
      Nov 14, 2016 to Jan 18, 2017
    • Discretionary RAUM · $13.9M to $14.5M
      Nov 14, 2016 to Jan 18, 2017
    • Non-discretionary RAUM · $22.1M to $27.1M
      Nov 14, 2016 to Jan 18, 2017
    • RAUM · $36.0M to $41.6M
      Nov 14, 2016 to Jan 18, 2017
    • Accounts · 104 to 100
      Feb 5, 2015 to Feb 6, 2016
    • Discretionary RAUM · $13.9M to $13.9M
      Feb 5, 2015 to Feb 6, 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