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Former SEC-registered adviser

D•••••• I••••••••• M••••••••• L••

Former SEC-registered adviserSouth Burlington, VermontCRD 134667SEC 801-127621IAPD
Latest filing Jan 16, 2025
First filing on the tape Mar 9, 2023 · 5 filings
SEC status approved since Apr 11, 2023
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$146M 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
5 filings and snapshots on the tape
RAUM$146M as of Jan 16, 2025
Mar 21, 2024$126M then
HNW client RAUM$104M as of Jan 16, 2025
Mar 21, 2024$78.9M then
State-registered IARs (5.B.3)1 as of Jan 16, 2025
Mar 21, 20241 then
Employees (5.A)1 as of Jan 16, 2025
Mar 21, 20241 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 16, 2025; every figure names its basis
RAUM per advisor
$146MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
146derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$313,525derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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$104M71%
  • Individuals$42.4M29%
Individual clients
97reported
HNW clients
49reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
466reported
Financial planning clients
1-10reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••••• D•••••• F••••• · President/Owner/Ccocontrol
    since 02/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
South Burlington, Vt · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 441 to 466
    Mar 21, 2024 to Jan 16, 2025
  • HNW clients · 40 to 49
    Mar 21, 2024 to Jan 16, 2025
  • Individual clients · 99 to 97
    Mar 21, 2024 to Jan 16, 2025
  • Financial planning clients · 1-10 to 1-10
    Mar 21, 2024 to Jan 16, 2025
  • Discretionary RAUM · $126M to $146M
    Mar 21, 2024 to Jan 16, 2025
  • HNW RAUM · $78.9M to $104M
    Mar 21, 2024 to Jan 16, 2025
  • Individual RAUM · $47.6M to $42.4M
    Mar 21, 2024 to Jan 16, 2025
  • RAUM · $126M to $146M
    Mar 21, 2024 to Jan 16, 2025
  • Accounts · 433 to 441
    Nov 3, 2023 to Mar 21, 2024
  • HNW clients · 64 to 40
    Nov 3, 2023 to Mar 21, 2024
  • Individual clients · 74 to 99
    Nov 3, 2023 to Mar 21, 2024
  • Discretionary RAUM · $116M to $126M
    Nov 3, 2023 to Mar 21, 2024
  • HNW RAUM · $88.3M to $78.9M
    Nov 3, 2023 to Mar 21, 2024
  • Individual RAUM · $27.5M to $47.6M
    Nov 3, 2023 to Mar 21, 2024
  • RAUM · $116M to $126M
    Nov 3, 2023 to Mar 21, 2024
Signals
3 dated events
  • ••• Locked
    Dec 20, 2025 · Left the SEC roster · derived
  • ••• Locked
    Sep 11, 2025 · Advisor changed firm · fact
  • ••• Locked
    Mar 9, 2023 · 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