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Former SEC-registered adviser

S•••••• I••••••••• A•••••••• L••

Former SEC-registered adviserCRD 145837SEC 801-70052IAPD
Latest filing Mar 30, 2015
First filing on the tape Jan 24, 2012 · 5 filings
RAUM
$299M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$299M as of Mar 30, 2015
Jan 24, 2012$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2015
Jan 24, 20120 then
Employees (5.A)6 as of Mar 30, 2015
Mar 28, 20135 then
Private funds: no history
RAUM +5.4% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2015; every figure names its basis
RAUM per advisor
$150MderivedRAUM 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
$299MderivedRAUM 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
3.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+5.4%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 businesses and institutions, 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)
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
1reported
Financial planning clients
n/areported
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
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
      • K•••••• J••••• P•••• · Elected Manager, President, Ceo, Chief Compliance Officercontrol
        since 08/2006 · owns 25% to 50%
      • L••••••• L•••• L• · Member & Coocontrol
        since 07/2012 · owns 10% to 25%
      • R••••••• V•••••• P•••• · Secretary, Treasurercontrol
        since 08/2006 · owns 10% to 25%
      • S••••••• F••••• A••••••• · Elected Manager, Chairman & Chief Investment Officercontrol
        since 08/2006 · owns 25% to 50%
      • A••••••••• M•••••• · Trusteecontrol
        since 07/2012 · owns F of A••••••••• F••••• T••••
      • K•••••• J••••• P•••• · Trusteecontrol
        since 07/2012 · owns F of A••••••••• F••••• T••••
      • R••••••• V•••••• P•••• · Trusteecontrol
        since 07/2012 · owns F of T•• R•••••• M•••••• T•••• U•••• D•• 1••••••••• A• A••••••
      • S••••••• F••••• A••••••• · Trusteecontrol
        since 07/2012 · owns F of T•• F•••• A• S•••••• 1••• T•••• A• A•••••• A•• R••••••• J•••••• 1•• 2•••
      • F•••••• H••• J••••• · Member
        since 08/2006 · owns 10% to 25%
      Entity owners
      • A••••••••• F••••• T•••• · Member
        direct · owns 25% to 50%
      • T•• P•••••• R••••••• I••••••••• L•• · Member
        direct · owns 25% to 50%
      • T•• F•••• A• S•••••• 1••• T•••• A• A•••••• A•• R••••••• J•••••• 1•• 2••• · Member
        indirect · owns 75% or more of T•• P•••••• R••••••• I••••••••• L••
      • T•• R•••••• M•••••• T•••• U•••• D•• 1••••••••• A• A•••••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 1
        Apr 1, 2014 to Mar 30, 2015
      • Advisory employees · 3 to 5
        Apr 1, 2014 to Mar 30, 2015
      • Employees · 5 to 6
        Apr 1, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.0M to $0
        Apr 1, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $283M to $299M
        Apr 1, 2014 to Mar 30, 2015
      • RAUM · $284M to $299M
        Apr 1, 2014 to Mar 30, 2015
      • Accounts · 4 to 6
        Jun 27, 2013 to Apr 1, 2014
      • Advisory employees · 1 to 3
        Jun 27, 2013 to Apr 1, 2014
      • Discretionary RAUM · $0 to $1.0M
        Jun 27, 2013 to Apr 1, 2014
      • Non-discretionary RAUM · $276M to $283M
        Jun 27, 2013 to Apr 1, 2014
      • RAUM · $276M to $284M
        Jun 27, 2013 to Apr 1, 2014
      • Accounts · 3 to 4
        Mar 28, 2013 to Jun 27, 2013
      • Non-discretionary RAUM · $801,943 to $276M
        Mar 28, 2013 to Jun 27, 2013
      • RAUM · $801,943 to $276M
        Mar 28, 2013 to Jun 27, 2013
      • Accounts · 1 to 3
        Jan 24, 2012 to Mar 28, 2013
      • Advisory employees · unset to 1.0
        Jan 24, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Jan 24, 2012 to Mar 28, 2013
      • State-registered IARs · 0 to 2
        Jan 24, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $178M to $801,943
        Jan 24, 2012 to Mar 28, 2013
      • RAUM · $178M to $801,943
        Jan 24, 2012 to Mar 28, 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