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Former SEC-registered adviser

B•••••• W••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 143892SEC 801-68302IAPD
Latest filing Mar 15, 2022
First filing on the tape Mar 20, 2012 · 15 filings
RAUM
$589M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$589M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$589M as of Mar 15, 2022
Mar 20, 2012$250M then
HNW client RAUM$589M as of Mar 15, 2022
Mar 20, 2018$398M then
State-registered IARs (5.B.3)0 as of Mar 15, 2022
Mar 20, 20120 then
Employees (5.A)3 as of Mar 15, 2022
Feb 20, 20132 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2022; every figure names its basis
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
$84.1MderivedHNW RAUM over HNW clients
Average account
$84.1MderivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$589M100%
Individual clients
n/areported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • A•••••••• E••••••••• P••••••• · Managing Directorcontrol
        since 05/2003 · owns 75% or more
      • A•••••• L•••••• M•••• · Vice President
        since 08/2014 · owns less than 5%
      • Z••••••••• P••••••• · Chief Compliance Officer
        since 10/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · 11-25 to 1-10
        Feb 18, 2021 to Mar 15, 2022
      • HNW RAUM · $515M to $589M
        Feb 18, 2021 to Mar 15, 2022
      • Non-discretionary RAUM · $515M to $589M
        Feb 18, 2021 to Mar 15, 2022
      • RAUM · $515M to $589M
        Feb 18, 2021 to Mar 15, 2022
      • Accounts · 8 to 7
        Jun 17, 2020 to Feb 18, 2021
      • Advisory activities · 3 to 4
        Jun 17, 2020 to Feb 18, 2021
      • HNW clients · 8 to 7
        Jun 17, 2020 to Feb 18, 2021
      • HNW RAUM · $452M to $515M
        Jun 17, 2020 to Feb 18, 2021
      • Non-discretionary RAUM · $452M to $515M
        Jun 17, 2020 to Feb 18, 2021
      • RAUM · $452M to $515M
        Jun 17, 2020 to Feb 18, 2021
      • Accounts · 10 to 8
        Mar 11, 2019 to Mar 17, 2020
      • HNW clients · 10 to 8
        Mar 11, 2019 to Mar 17, 2020
      • HNW RAUM · $385M to $452M
        Mar 11, 2019 to Mar 17, 2020
      • Non-discretionary RAUM · $385M to $452M
        Mar 11, 2019 to Mar 17, 2020
      • RAUM · $385M to $452M
        Mar 11, 2019 to Mar 17, 2020
      • Accounts · 24 to 10
        Mar 20, 2018 to Mar 11, 2019
      • HNW RAUM · $398M to $385M
        Mar 20, 2018 to Mar 11, 2019
      • Non-discretionary RAUM · $398M to $385M
        Mar 20, 2018 to Mar 11, 2019
      • RAUM · $398M to $385M
        Mar 20, 2018 to Mar 11, 2019
      • Accounts · 11 to 24
        Mar 17, 2017 to Mar 20, 2018
      • Advisory activities · 4 to 3
        Mar 17, 2017 to Mar 20, 2018
      • HNW clients · unset to 10.0
        Mar 17, 2017 to Mar 20, 2018
      • Other offices · unset to 1.0
        Mar 17, 2017 to Mar 20, 2018
      • HNW RAUM · unset to 398000000.0
        Mar 17, 2017 to Mar 20, 2018
      • Non-discretionary RAUM · $357M to $398M
        Mar 17, 2017 to Mar 20, 2018
      • RAUM · $357M to $398M
        Mar 17, 2017 to Mar 20, 2018
      • Non-discretionary RAUM · $350M to $357M
        Mar 29, 2016 to Mar 17, 2017
      • RAUM · $350M to $357M
        Mar 29, 2016 to Mar 17, 2017
      • Non-discretionary RAUM · $364M to $350M
        Mar 10, 2015 to Mar 29, 2016
      • RAUM · $364M to $350M
        Mar 10, 2015 to Mar 29, 2016
      • Accounts · 15 to 11
        Dec 2, 2014 to Mar 10, 2015
      • Non-discretionary RAUM · $325M to $364M
        Dec 2, 2014 to Mar 10, 2015
      • RAUM · $325M to $364M
        Dec 2, 2014 to Mar 10, 2015
      • Advisory employees · 2 to 3
        Jan 31, 2014 to Dec 2, 2014
      • Employees · 2 to 3
        Jan 31, 2014 to Dec 2, 2014
      • Accounts · 17 to 15
        Sep 11, 2013 to Jan 31, 2014
      • Non-discretionary RAUM · $280M to $325M
        Sep 11, 2013 to Jan 31, 2014
      • RAUM · $280M to $325M
        Sep 11, 2013 to Jan 31, 2014
      • Accounts · 12 to 17
        Oct 17, 2012 to Feb 20, 2013
      • Advisory employees · unset to 2.0
        Oct 17, 2012 to Feb 20, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026