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V••• A••••••• I•••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $45.2M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$45.2M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
+1.3%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 137390 · SEC 801-64911 · 6 filingsShow
CRD 137390SEC 801-64911First filing on the tape Feb 6, 2012, latest Apr 30, 2013IAPD
RAUM
$45.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$45.2M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$45.2M as of Mar 28, 2013
Feb 6, 2012$44.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2013
Feb 6, 20120 then
Employees (5.A): 1
Private funds: no history
RAUM +1.3% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Apr 30, 2013; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$45.2MderivedRAUM 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
$619,452derivedRAUM 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
+1.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
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
73reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the 10 longest tenured
      NameBranchHere sinceIn industryPrior firms
      M•••••• T• P•••••Certified Financial PlannerJupiter, FlNov 18, 202537 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• M••••••• T• · President/Chief Compliance Officercontrol
        since 11/1988 · owns 75% or more
      Related persons
      Schedule D 7.A
      • P••••• • F••••••• L••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Insurance-licensed employees · 1 to 0
        Feb 21, 2013 to Mar 28, 2013
      • Accounts · 70 to 73
        Sep 4, 2012 to Feb 21, 2013
      • Advisory employees · unset to 1.0
        Sep 4, 2012 to Feb 21, 2013
      • Employees · unset to 1.0
        Sep 4, 2012 to Feb 21, 2013
      • HQ city · ROCKVILLE CENTRE to unset
        Sep 4, 2012 to Feb 21, 2013
      Full history · 9 changes
      • HQ state · NY to unset
        Sep 4, 2012 to Feb 21, 2013
      • State-registered IARs · 0 to 1
        Sep 4, 2012 to Feb 21, 2013
      • Discretionary RAUM · $44.7M to $45.2M
        Sep 4, 2012 to Feb 21, 2013
      • RAUM · $44.7M to $45.2M
        Sep 4, 2012 to Feb 21, 2013
      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
      $45.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026