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Former SEC-registered adviser

S••••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 147313SEC 801-69678IAPD
Latest filing Mar 30, 2020
First filing on the tape Dec 23, 2011 · 14 filings
RAUM
$42.6M
reported, Item 5.F
Discretionary
9.1%
of RAUM
Private clients
37%
$16.0M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$42.6M as of Mar 30, 2020
Feb 10, 2012$28.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Feb 10, 20120 then
Employees (5.A)3 as of Mar 30, 2020
Mar 13, 20134 then
Private funds: no history
RAUM -25% over the last fiscal year-7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
9.1%derivedof RAUM
Institutional
6.0%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
-25%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$20.9M53%
  • Individuals$16.0M40%
  • Charitable organizations$2.6M6.5%
Individual clients
7reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
19reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
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
      • J••••••• A•••••• G••••• · Managing Membercontrol
        since 05/2008 · owns 50% to 75%
      • J••••••• D•••••• J•••• · Managing Member/Chief Compliance Officercontrol
        since 05/2008 · owns 50% to 75%
      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 · 21 to 19
        Mar 25, 2019 to Mar 30, 2020
      • Advisory employees · 4 to 3
        Mar 25, 2019 to Mar 30, 2020
      • Individual clients · 9 to 7
        Mar 25, 2019 to Mar 30, 2020
      • Employees · 4 to 3
        Mar 25, 2019 to Mar 30, 2020
      • Discretionary RAUM · $8.9M to $3.9M
        Mar 25, 2019 to Mar 30, 2020
      • Individual RAUM · $26.9M to $16.0M
        Mar 25, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $47.7M to $38.7M
        Mar 25, 2019 to Mar 30, 2020
      • RAUM · $56.6M to $42.6M
        Mar 25, 2019 to Mar 30, 2020
      • Accounts · 18 to 21
        Mar 23, 2018 to Mar 25, 2019
      • Advisory activities · 4 to 3
        Mar 23, 2018 to Mar 25, 2019
      • Individual clients · 6 to 9
        Mar 23, 2018 to Mar 25, 2019
      • Discretionary RAUM · $8.9M to $8.9M
        Mar 23, 2018 to Mar 25, 2019
      • Individual RAUM · $21.9M to $26.9M
        Mar 23, 2018 to Mar 25, 2019
      • Non-discretionary RAUM · $50.9M to $47.7M
        Mar 23, 2018 to Mar 25, 2019
      • RAUM · $59.8M to $56.6M
        Mar 23, 2018 to Mar 25, 2019
      • Accounts · 17 to 18
        Mar 21, 2017 to Mar 23, 2018
      • BD registered reps · 0 to 1
        Mar 21, 2017 to Mar 23, 2018
      • Individual clients · unset to 6.0
        Mar 21, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Mar 21, 2017 to Mar 23, 2018
      • Discretionary RAUM · $7.2M to $8.9M
        Mar 21, 2017 to Mar 23, 2018
      • Individual RAUM · unset to 21909408.0
        Mar 21, 2017 to Mar 23, 2018
      • Non-discretionary RAUM · $45.8M to $50.9M
        Mar 21, 2017 to Mar 23, 2018
      • RAUM · $53.0M to $59.8M
        Mar 21, 2017 to Mar 23, 2018
      • Accounts · 18 to 17
        May 4, 2016 to Mar 21, 2017
      • Discretionary RAUM · $10.2M to $7.2M
        May 4, 2016 to Mar 21, 2017
      • Non-discretionary RAUM · $45.9M to $45.8M
        May 4, 2016 to Mar 21, 2017
      • RAUM · $56.1M to $53.0M
        May 4, 2016 to Mar 21, 2017
      • Accounts · 17 to 18
        Mar 9, 2015 to Feb 18, 2016
      • Advisory activities · 5 to 4
        Mar 9, 2015 to Feb 18, 2016
      • Discretionary RAUM · $0 to $10.2M
        Mar 9, 2015 to Feb 18, 2016
      • Non-discretionary RAUM · $57.6M to $45.9M
        Mar 9, 2015 to Feb 18, 2016
      • RAUM · $57.6M to $56.1M
        Mar 9, 2015 to Feb 18, 2016
      • Accounts · 16 to 17
        Sep 16, 2014 to Mar 9, 2015
      • Non-discretionary RAUM · $40.8M to $57.6M
        Sep 16, 2014 to Mar 9, 2015
      • RAUM · $40.8M to $57.6M
        Sep 16, 2014 to Mar 9, 2015
      • Accounts · 13 to 16
        Mar 13, 2013 to Mar 18, 2014
      • Advisory activities · 4 to 5
        Mar 13, 2013 to Mar 18, 2014
      • Business name · 6•• A••••••••• L•• to S••••••• A••••••• L••
        Mar 13, 2013 to Mar 18, 2014
      • Non-discretionary RAUM · $39.1M to $40.8M
        Mar 13, 2013 to Mar 18, 2014
      • RAUM · $39.1M to $40.8M
        Mar 13, 2013 to Mar 18, 2014
      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