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Former SEC-registered adviser

P•••••••• C•••••• M••••••••• I••

Former SEC-registered adviserCarmel, IndianaCRD 133898SEC 801-77108IAPD
Latest filing Jan 9, 2017
First filing on the tape Mar 20, 2012 · 25 filings
RAUM
$84.5M
reported, Item 5.F
Discretionary
99%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$96.4M as of Apr 11, 2016
Mar 20, 2012$69.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Apr 11, 2016
Jan 18, 20133 then
Employees (5.A)3 as of Apr 11, 2016
Jan 18, 20133 then
Private funds: no history
RAUM -27% over the last fiscal year-12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 9, 2017; every figure names its basis
RAUM per advisor
$28.2MderivedRAUM 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
$193,458derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 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)
  • 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
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
437reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• M••••••• J•• · President, Cio, Ceocontrol
        since 01/2002 · owns 75% or more
      • W•••••• D•••• B•••••• · Cco, Coo
        since 06/2014 · owns less than 5%
      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 · 539 to 437
        Apr 11, 2016 to Oct 7, 2016
      • Advisory activities · 5 to 4
        Apr 11, 2016 to Oct 7, 2016
      • Discretionary RAUM · $95.8M to $84.0M
        Apr 11, 2016 to Oct 7, 2016
      • Non-discretionary RAUM · $629,454 to $567,997
        Apr 11, 2016 to Oct 7, 2016
      • RAUM · $96.4M to $84.5M
        Apr 11, 2016 to Oct 7, 2016
      • Accounts · 1,371 to 539
        Mar 27, 2015 to Apr 11, 2016
      • Insurance-licensed employees · 3 to 2
        Mar 27, 2015 to Apr 11, 2016
      • Discretionary RAUM · $115M to $95.8M
        Mar 27, 2015 to Apr 11, 2016
      • Non-discretionary RAUM · $510,452 to $629,454
        Mar 27, 2015 to Apr 11, 2016
      • RAUM · $116M to $96.4M
        Mar 27, 2015 to Apr 11, 2016
      • Accounts · 590 to 1,371
        Feb 9, 2015 to Mar 27, 2015
      • Discretionary RAUM · $123M to $115M
        Feb 9, 2015 to Mar 27, 2015
      • Non-discretionary RAUM · $559,005 to $510,452
        Feb 9, 2015 to Mar 27, 2015
      • RAUM · $123M to $116M
        Feb 9, 2015 to Mar 27, 2015
      • Accounts · 663 to 590
        Nov 15, 2013 to Mar 31, 2014
      • Insurance-licensed employees · 0 to 3
        Nov 15, 2013 to Mar 31, 2014
      • Discretionary RAUM · $120M to $123M
        Nov 15, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $2.6M to $559,005
        Nov 15, 2013 to Mar 31, 2014
      • RAUM · $123M to $123M
        Nov 15, 2013 to Mar 31, 2014
      • Advisory activities · 4 to 5
        Jan 18, 2013 to Mar 8, 2013
      • Financial planning clients · unset to 1-10
        Jan 18, 2013 to Mar 8, 2013
      • Discretionary RAUM · $123M to $120M
        Jan 18, 2013 to Mar 8, 2013
      • Non-discretionary RAUM · $2.6M to $2.6M
        Jan 18, 2013 to Mar 8, 2013
      • RAUM · $125M to $123M
        Jan 18, 2013 to Mar 8, 2013
      • Accounts · 712 to 663
        Aug 28, 2012 to Jan 18, 2013
      • Advisory employees · unset to 3.0
        Aug 28, 2012 to Jan 18, 2013
      • Employees · unset to 3.0
        Aug 28, 2012 to Jan 18, 2013
      • State-registered IARs · unset to 3.0
        Aug 28, 2012 to Jan 18, 2013
      • Discretionary RAUM · $132M to $123M
        Aug 28, 2012 to Jan 18, 2013
      • Non-discretionary RAUM · $2.3M to $2.6M
        Aug 28, 2012 to Jan 18, 2013
      • RAUM · $135M to $125M
        Aug 28, 2012 to Jan 18, 2013
      • Accounts · 763 to 712
        Jun 27, 2012 to Aug 28, 2012
      • Advisory activities · 3 to 4
        Jun 27, 2012 to Aug 28, 2012
      • Discretionary RAUM · $69.7M to $132M
        Jun 27, 2012 to Aug 28, 2012
      • RAUM · $72.0M to $135M
        Jun 27, 2012 to Aug 28, 2012
      • Accounts · 616 to 763
        Apr 13, 2012 to Jun 7, 2012
      • Discretionary RAUM · $66.7M to $69.7M
        Apr 13, 2012 to Jun 7, 2012
      • RAUM · $69.0M to $72.0M
        Apr 13, 2012 to Jun 7, 2012
      Signals
      1 dated events
      • P•••••••• C•••••• M••••••••• I•• filed its initial SEC registration (Form ADV)
        Aug 28, 2012 · 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