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Former SEC-registered adviser

T•• P•••••••• G••••

Former SEC-registered adviserCRD 147900SEC 801-77186IAPD
Latest filing Apr 27, 2023
First filing on the tape Sep 19, 2012 · 24 filings
RAUM
$187M
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
100%
$187M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$187M as of Jan 20, 2023
Jan 30, 2013$142M then
HNW client RAUM$186M as of Jan 20, 2023
Mar 22, 2018$170M then
State-registered IARs (5.B.3)0 as of Jan 20, 2023
Jan 30, 20130 then
Employees (5.A)1 as of Jan 20, 2023
Jan 30, 20133 then
Private funds: no history
RAUM -7.9% over the last fiscal year-0.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 27, 2023; 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
$4.1MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
56%derivedof RAUM
Institutional
0.1%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
-7.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$186M99%
  • Individuals$800,0000.4%
  • Charitable organizations$136,9010.1%
Individual clients
5reported
HNW clients
45reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
90reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Left, latest
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
    • R••••• P••••••• J•••• · President And Chief Compliance Officercontrol
      since 01/2012 · owns 75% or more
    Related persons
    Schedule D 7.A
    • P•••••• J• R••••• A••••••• A• L••
      y
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 41 to 90
      Jan 4, 2022 to Jan 20, 2023
    • Charity clients · 0 to 1
      Jan 4, 2022 to Jan 20, 2023
    • Discretionary RAUM · $123M to $104M
      Jan 4, 2022 to Jan 20, 2023
    • HNW RAUM · $193M to $186M
      Jan 4, 2022 to Jan 20, 2023
    • Individual RAUM · $10.0M to $800,000
      Jan 4, 2022 to Jan 20, 2023
    • Non-discretionary RAUM · $80.0M to $83.0M
      Jan 4, 2022 to Jan 20, 2023
    • RAUM · $203M to $187M
      Jan 4, 2022 to Jan 20, 2023
    • Accounts · 85 to 41
      Jan 25, 2021 to Jan 3, 2022
    • HNW clients · 50 to 45
      Jan 25, 2021 to Jan 3, 2022
    • Individual clients · 10 to 5
      Jan 25, 2021 to Jan 3, 2022
    • Discretionary RAUM · $121M to $123M
      Jan 25, 2021 to Jan 3, 2022
    • HNW RAUM · $238M to $193M
      Jan 25, 2021 to Jan 3, 2022
    • Non-discretionary RAUM · $128M to $80.0M
      Jan 25, 2021 to Jan 3, 2022
    • RAUM · $248M to $203M
      Jan 25, 2021 to Jan 3, 2022
    • Discretionary RAUM · $97.4M to $121M
      May 4, 2020 to Jan 25, 2021
    • HNW RAUM · $181M to $238M
      May 4, 2020 to Jan 25, 2021
    • Non-discretionary RAUM · $94.0M to $128M
      May 4, 2020 to Jan 25, 2021
    • RAUM · $191M to $248M
      May 4, 2020 to Jan 25, 2021
    • Accounts · 60 to 85
      Jan 4, 2019 to Jan 21, 2020
    • Other offices · 1 to 0
      Jan 4, 2019 to Jan 21, 2020
    • Discretionary RAUM · $80.0M to $97.4M
      Jan 4, 2019 to Jan 21, 2020
    • HNW RAUM · $137M to $181M
      Jan 4, 2019 to Jan 21, 2020
    • Non-discretionary RAUM · $67.0M to $94.0M
      Jan 4, 2019 to Jan 21, 2020
    • RAUM · $147M to $191M
      Jan 4, 2019 to Jan 21, 2020
    • Accounts · 58 to 60
      Mar 22, 2018 to Jan 4, 2019
    • Charity clients · 1 to 0
      Mar 22, 2018 to Jan 4, 2019
    • Discretionary RAUM · $80.9M to $80.0M
      Mar 22, 2018 to Jan 4, 2019
    • HNW RAUM · $170M to $137M
      Mar 22, 2018 to Jan 4, 2019
    • Individual RAUM · $9.0M to $10.0M
      Mar 22, 2018 to Jan 4, 2019
    • Non-discretionary RAUM · $98.5M to $67.0M
      Mar 22, 2018 to Jan 4, 2019
    • RAUM · $179M to $147M
      Mar 22, 2018 to Jan 4, 2019
    • Accounts · 83 to 58
      Nov 29, 2017 to Mar 22, 2018
    • Advisory employees · 3 to 1
      Nov 29, 2017 to Mar 22, 2018
    • HNW clients · 87 to 50
      Nov 29, 2017 to Mar 22, 2018
    • Individual clients · 22 to 10
      Nov 29, 2017 to Mar 22, 2018
    • Employees · 5 to 1
      Nov 29, 2017 to Mar 22, 2018
    • Financial planning clients · 101-250 to 51-100
      Nov 29, 2017 to Mar 22, 2018
    • Discretionary RAUM · $112M to $80.9M
      Nov 29, 2017 to Mar 22, 2018
    • HNW RAUM · $168M to $170M
      Nov 29, 2017 to Mar 22, 2018
    • Individual RAUM · $21.4M to $9.0M
      Nov 29, 2017 to Mar 22, 2018
    Signals
    1 dated events
    • ••• Locked
      Sep 19, 2012 · 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