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SEC-registered adviser

P•••••• I••••••••• C••••••

Independent wealth managerCRD 14553SEC 801-135351IAPD
Latest filing Aug 20, 2026
First filing on the tape Apr 3, 2026 · 2 filings
SEC status approved since Apr 6, 2026
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$69.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$53.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$107M as of Aug 20, 2026
Apr 3, 2026$107M then
HNW client RAUM$67.8M as of Aug 20, 2026
Apr 3, 2026$67.8M then
State-registered IARs (5.B.3)1 as of Aug 20, 2026
Apr 3, 20261 then
Employees (5.A)2 as of Aug 20, 2026
Apr 3, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
RAUM per advisor
$53.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
14derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$2.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 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, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$107M, 33 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
  • is a broker-dealer (6.A.1)
  • 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)
  • 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
  • High-net-worth individuals$67.8M63%
  • Charitable organizations$35.9M34%
  • Individuals$2.0M1.9%
  • Corporations and businesses$1.2M1.2%
Individual clients
9reported
HNW clients
18reported
Pension plan clients
0reported
Charitable clients
5reported
Accounts
41reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$107M for 33 clientsreported
Compensation
% of AUM, commissionsreported
Class basis
private_client_share=0.65 fund_share=0.0 institutional_share=0.34 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••• S••••••• G••••••••The Villages, Fl Jan 6, 200242 y0
Z•••••• L•• M•••Chevy Chase, Md Aug 13, 202611 y0
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
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Chevy Chase, Md210
      The Villages, Fl210
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      240-274-7810reportedpublic record, Form ADV, Aug 20, 2026
      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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $53.5Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026