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Former SEC-registered adviser

F••••• F•••••••• M•••••••••

Former SEC-registered adviserMiami, FloridaCRD 147285SEC 801-69309IAPD
Legal name F••••• F•••••••• M••••••••• L••
Latest filing Mar 20, 2014
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$571M
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
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$571M as of Mar 20, 2014
Mar 29, 2012$418M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 20, 2014
Apr 1, 20132 then
Employees (5.A)5 as of Mar 20, 2014
Apr 1, 20135 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2014; every figure names its basis
RAUM per advisor
$285MderivedRAUM 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
$307,764derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$5.7M, 13 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
1,854reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$5.7M for 13 clientsreported
Compensation
% of AUM, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••• S•••••• M•••••• · Ceo And Chief Compliance Officercontrol
    since 11/2008 · owns less than 5%
  • F•••••• S•••••• M•••••• · Shareholdercontrol
    since 12/2001 · owns 75% or more of F••••• F•••••••• M••••••••• I•••
Entity owners
  • F••••• F•••••••• M••••••••• I••• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,625 to 1,854
    Sep 16, 2013 to Mar 20, 2014
  • Discretionary RAUM · $497M to $571M
    Sep 16, 2013 to Mar 20, 2014
  • RAUM · $497M to $571M
    Sep 16, 2013 to Mar 20, 2014
  • Accounts · 1,886 to 1,625
    Jan 10, 2013 to Apr 1, 2013
  • Advisory employees · 3 to 2
    Jan 10, 2013 to Apr 1, 2013
  • Assets in custody · $8.1M to $5.7M
    Jan 10, 2013 to Apr 1, 2013
  • State-registered IARs · 3 to 2
    Jan 10, 2013 to Apr 1, 2013
  • Discretionary RAUM · $418M to $497M
    Jan 10, 2013 to Apr 1, 2013
  • RAUM · $418M to $497M
    Jan 10, 2013 to Apr 1, 2013
  • Related adviser · true to false
    Jan 10, 2013 to Apr 1, 2013
  • Advisory employees · unset to 3.0
    Jul 16, 2012 to Nov 1, 2012
  • Employees · unset to 5.0
    Jul 16, 2012 to Nov 1, 2012
  • State-registered IARs · unset to 3.0
    Jul 16, 2012 to Nov 1, 2012
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