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M••••••••• F•••••••• S•••••••• L••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $113M of regulatory assets.

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

As of 2022-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $113M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +0.0%
Private clients: 22% of RAUM, $24.7M

Advisors Advisor movement Where the RAUM sits

As of 2022-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 18 Form ADV filings for this adviser, the latest 4.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 147020 · SEC 801-78710 · 18 filingsShow

CRD 147020SEC 801-78710First filing on the tape Oct 14, 2013, latest Mar 17, 2022IAPD

RAUM

$113M

reported, Item 5.F

Discretionary

96%

of RAUM

Private clients

22%

$24.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM$113M as of Mar 17, 2022

Mar 31, 2014$60.7M then

HNW client RAUM$23.9M as of Mar 17, 2022

Mar 8, 2021$23.9M then

State-registered IARs (5.B.3)0 as of Mar 17, 2022

Mar 31, 20141 then

Employees (5.A)2 as of Mar 17, 2022

Mar 31, 20141 then

Private funds: no history

RAUM +0.0% over the last fiscal year+47% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 17, 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: unknownderivedHNW RAUM over HNW clients
Average account: $8.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 96%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +0.0%derivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$83.1M77%
High-net-worth individuals$23.9M22%
Individuals$853,8870.8%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 14reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
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

G•••••• A•••••••• V•••••••• to R•••••• J•••• • A••••••••• I•••
Oct 18, 2022 · RIA to affiliated broker-dealer or bank

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

V••••••••• G••••••• A•••••••• · President/Chief Compliance Officercontrol
since 12/2010 · owns less than 5%
M••••••••• C•••••• L•• · Shareholdercontrol
since 01/2006 · owns 75% or more of C• H••••••• S••
R••••• P•••••• A• · Chief Financial Officer
since 02/2021 · owns less than 5%

Entity owners

M••••••••• C••••••••• · Member
direct · owns 75% or more
C• H••••••• S•• · Shareholder
indirect · owns 25% to 50% of S•••••• D••••••• E• D• G•••••• F••••••••• M••••••••• S••
S•••••• D••••••• E• D• G•••••• F••••••••• M••••••••• S•• · Shareholder
indirect · owns 75% or more of M••••••••• C•••••••••

Related persons

Schedule D 7.A

M••••••••• C•••••• M••••••• I•••
broker-dealern
S•••••• D••••••• E• D• G•••••• F••••••••• M••••••••• S••
investment advisery

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Related broker-dealer · false to true
Mar 8, 2021 to Jul 15, 2021
Advisory employees · 1 to 2
Jun 19, 2020 to Mar 8, 2021
BD registered reps · 1 to 0
Jun 19, 2020 to Mar 8, 2021
HNW clients · 6.0 to unset
Jun 19, 2020 to Mar 8, 2021
Pooled vehicle clients · 1 to 2
Jun 19, 2020 to Mar 8, 2021
Employees · 1 to 2
Jun 19, 2020 to Mar 8, 2021
State-registered IARs · 1 to 0
Jun 19, 2020 to Mar 8, 2021
Discretionary RAUM · $79.6M to $108M
Jun 19, 2020 to Mar 8, 2021
HNW RAUM · $23.3M to $23.9M
Jun 19, 2020 to Mar 8, 2021
Individual RAUM · $180,684 to $853,887
Jun 19, 2020 to Mar 8, 2021
Non-discretionary RAUM · $0 to $4.9M
Jun 19, 2020 to Mar 8, 2021
Pooled vehicle RAUM · $51.5M to $83.1M
Jun 19, 2020 to Mar 8, 2021
RAUM · $79.6M to $113M
Jun 19, 2020 to Mar 8, 2021
Accounts · 1 to 14
Mar 27, 2020 to Jun 19, 2020
Advisory activities · 2 to 3
Mar 27, 2020 to Jun 19, 2020
HNW clients · unset to 6.0
Mar 27, 2020 to Jun 19, 2020
Financial planning clients · 0 to unset
Mar 27, 2020 to Jun 19, 2020
Discretionary RAUM · $40.0M to $79.6M
Mar 27, 2020 to Jun 19, 2020
HNW RAUM · unset to 23258160.0
Mar 27, 2020 to Jun 19, 2020
Individual RAUM · unset to 180684.0
Mar 27, 2020 to Jun 19, 2020
Pooled vehicle RAUM · $40.0M to $51.5M
Mar 27, 2020 to Jun 19, 2020
RAUM · $40.0M to $79.6M
Mar 27, 2020 to Jun 19, 2020
Related broker-dealer · true to false
Mar 27, 2020 to Jun 19, 2020
Accounts · 2 to 1
Dec 16, 2019 to Mar 27, 2020
Discretionary RAUM · $30.0M to $40.0M
Dec 16, 2019 to Mar 27, 2020
Non-discretionary RAUM · $5.4M to $0
Dec 16, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $30.0M to $40.0M
Dec 16, 2019 to Mar 27, 2020
RAUM · $35.4M to $40.0M
Dec 16, 2019 to Mar 27, 2020
Discretionary RAUM · $44.0M to $30.0M
Mar 30, 2018 to Mar 6, 2019
Non-discretionary RAUM · $0 to $5.4M
Mar 30, 2018 to Mar 6, 2019
Pooled vehicle RAUM · $38.6M to $30.0M
Mar 30, 2018 to Mar 6, 2019
RAUM · $44.0M to $35.4M
Mar 30, 2018 to Mar 6, 2019
Pooled vehicle clients · unset to 1.0
Mar 31, 2017 to Mar 30, 2018
Financial planning clients · 1-10 to 0
Mar 31, 2017 to Mar 30, 2018
Other offices · unset to 0.0
Mar 31, 2017 to Mar 30, 2018
Discretionary RAUM · $62.0M to $44.0M
Mar 31, 2017 to Mar 30, 2018
Pooled vehicle RAUM · unset to 38600000.0
Mar 31, 2017 to Mar 30, 2018
RAUM · $62.0M to $44.0M
Mar 31, 2017 to Mar 30, 2018
Discretionary RAUM · $55.0M to $62.0M
Sep 8, 2016 to Mar 31, 2017
RAUM · $55.0M to $62.0M
Sep 8, 2016 to Mar 31, 2017

Signals

3 dated events

••• Locked
Oct 18, 2022 · Advisor changed firm · fact
••• Locked
Aug 31, 2021 · Control person left · inference
••• Locked
Oct 14, 2013 · First SEC registration · fact

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