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Former SEC-registered adviser

S•••••••• W••••• M••••••••• L••

Former SEC-registered adviserBriarcliff Manor, New YorkCRD 140745SEC 801-66859IAPD
Latest filing Jun 29, 2017
First filing on the tape Mar 7, 2012 · 18 filings
RAUM
$13.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$6.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$13.3M as of Mar 31, 2017
Mar 19, 2012$29.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2017
Mar 19, 20120 then
Employees (5.A)2 as of Mar 31, 2017
Apr 1, 20131 then
Private funds: no history
RAUM -47% over the last fiscal year-21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 29, 2017; every figure names its basis
RAUM per advisor
$6.7MderivedRAUM 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
$198,937derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-47%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, 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)
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
67reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••• S••••••Briarcliff Manor, NyApr 16, 202143 y1
A•••••• J••• D••••Briarcliff Manor, NyApr 16, 202133 y1
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
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• A••••••• J••• · President/Chief Compliance Officercontrol
        since 05/2006 · owns 50% to 75%
      • S••••••• A••• · Investment Advisor Representativecontrol
        since 06/2012 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Briarcliff Manor, Ny · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 4 to 3
        Jun 2, 2017 to Jun 22, 2017
      • Advisory activities · 5 to 4
        Mar 31, 2017 to Jun 2, 2017
      • Accounts · 52 to 67
        Mar 21, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $25.0M to $13.3M
        Mar 21, 2016 to Mar 31, 2017
      • RAUM · $25.0M to $13.3M
        Mar 21, 2016 to Mar 31, 2017
      • Accounts · 57 to 52
        Mar 13, 2015 to Mar 21, 2016
      • Non-discretionary RAUM · $26.0M to $25.0M
        Mar 13, 2015 to Mar 21, 2016
      • RAUM · $26.0M to $25.0M
        Mar 13, 2015 to Mar 21, 2016
      • Accounts · 85 to 57
        Jul 14, 2014 to Mar 13, 2015
      • Non-discretionary RAUM · $27.0M to $26.0M
        Jul 14, 2014 to Mar 13, 2015
      • RAUM · $27.0M to $26.0M
        Jul 14, 2014 to Mar 13, 2015
      • Accounts · 105 to 85
        Apr 1, 2013 to Feb 26, 2014
      • Advisory employees · 1 to 2
        Apr 1, 2013 to Feb 26, 2014
      • Employees · 1 to 2
        Apr 1, 2013 to Feb 26, 2014
      • State-registered IARs · 1 to 2
        Apr 1, 2013 to Feb 26, 2014
      • Non-discretionary RAUM · $31.0M to $27.0M
        Apr 1, 2013 to Feb 26, 2014
      • RAUM · $31.0M to $27.0M
        Apr 1, 2013 to Feb 26, 2014
      • Accounts · 102 to 105
        May 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 1.0
        May 30, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        May 30, 2012 to Apr 1, 2013
      • Employees · unset to 1.0
        May 30, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 1
        May 30, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $29.0M to $31.0M
        May 30, 2012 to Apr 1, 2013
      • RAUM · $29.0M to $31.0M
        May 30, 2012 to Apr 1, 2013
      • Accounts · 104 to 102
        Mar 14, 2012 to Mar 19, 2012
      • Non-discretionary RAUM · $34.0M to $29.0M
        Mar 14, 2012 to Mar 19, 2012
      • RAUM · $34.0M to $29.0M
        Mar 14, 2012 to Mar 19, 2012
      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
      $6.7Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026