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A••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Guaynabo, PR

Former SEC-registered adviser, based in Guaynabo, PR, reporting $118M of regulatory assets.

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

Last reported RAUM
$118M
Form ADV
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere 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 143157 · SEC 801-67556 · 1 filingsShow
CRD 143157SEC 801-67556First filing on the tape Mar 30, 2012, latest Mar 30, 2012IAPD
RAUM
$118M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$314M gross assets
History
1 filings and snapshots on the tape

Filed figures over time · the tape starts Mar 30, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: $118M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): no history
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2012; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
unknownderivedRAUM 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
$59.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$35.0M, 1 clientsreportedItem 9.A
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
2reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$35.0M for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••• J•••• C••••• · General Counselcontrol
        since 05/2007 · owns less than 5%
      • E••••••••• Z••••• C•••••••• · Controllercontrol
        since 07/2011 · owns less than 5%
      • H••••••••• A•••••• · Chief Investment Officercontrol
        since 09/2010 · owns less than 5%
      • J•••••••• J••• A•••••••• · Ceo & Chief Compliance Officercontrol
        since 01/2007 · owns less than 5%
      • P••••••••• F••••••••• N••• · Presidentcontrol
        since 01/2007 · owns less than 5%
      All 8 control persons
      • R••••••••• J••••• R•••• · Chief Financial Officer And Treasurercontrol
        since 06/2007 · owns less than 5%
      • S•••••••• M•••••• · Trusteecontrol
        since 11/2011 · owns F of A•••• C•••• T••••
      • A••• E•••••• · Trustee
        since 06/2008 · owns F of B••• S••••• T••••
      Entity owners
      • A•••• C•••• T•••• · Member
        direct · owns 75% or more
      • B••• S••••• T•••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Sofia, Bulgaria
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026