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Former SEC-registered adviser

F•••••••• C••••••••• G••••• L••

Former SEC-registered adviserManchester, New HampshireCRD 147804SEC 801-70016IAPD
Latest filing Mar 27, 2014
First filing on the tape Mar 29, 2012 · 4 filings
RAUM
$112M
reported, Item 5.F
Discretionary
45%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$112M as of Mar 27, 2014
Mar 29, 2012$144M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 27, 2014
Apr 1, 20133 then
Employees (5.A)3 as of Mar 27, 2014
Apr 1, 20133 then
Private funds: no history
RAUM -34% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2014; every figure names its basis
RAUM per advisor
$37.4MderivedRAUM 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
45%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-34%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 institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
50reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• R•••••• J••• · President, Managing Membercontrol
    since 01/2008 · owns 75% or more
  • S•• P•••••• K•••••••• A•• · Chief Compliance Officercontrol
    since 07/2008 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 158 to 50
    Mar 14, 2014 to Mar 27, 2014
  • Discretionary RAUM · $122M to $50.2M
    Mar 14, 2014 to Mar 27, 2014
  • Non-discretionary RAUM · $48.7M to $61.9M
    Mar 14, 2014 to Mar 27, 2014
  • RAUM · $171M to $112M
    Mar 14, 2014 to Mar 27, 2014
  • RAUM · $144M to $171M
    Mar 29, 2012 to Apr 1, 2013
  • Accounts · 163 to 158
    Mar 29, 2012 to Apr 1, 2013
  • Advisory employees · unset to 2.0
    Mar 29, 2012 to Apr 1, 2013
  • Employees · unset to 3.0
    Mar 29, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 3.0
    Mar 29, 2012 to Apr 1, 2013
  • Discretionary RAUM · $80.7M to $122M
    Mar 29, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $62.8M to $48.7M
    Mar 29, 2012 to Apr 1, 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