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Former SEC-registered adviserFormer SEC adviser· Lutz, Florida

Former SEC-registered adviser, based in Lutz, Florida, reporting $121M of regulatory assets.

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

Last reported RAUM
$121M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-2.5%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 10 Form ADV filings for this adviser, the latest 9.7 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 148558 · SEC 801-69697 · 10 filingsShow
CRD 148558SEC 801-69697First filing on the tape Mar 27, 2012, latest Feb 21, 2017IAPD
RAUM
$121M
reported, Item 5.F
Discretionary
96%
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$121M as of Feb 21, 2017
Mar 27, 2012$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 21, 2017
Mar 27, 20120 then
Employees (5.A)3 as of Feb 21, 2017
Mar 4, 20134 then
Private funds: no history
RAUM -2.5% over the last fiscal year+1.8% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Feb 21, 2017; every figure names its basis
RAUM per advisor
$121MderivedRAUM 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
$488,155derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.5%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
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
247reported
Financial planning clients
0reported
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
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
      • G••••• R•••••• B•••• · Chief Executive Officer / Chief Compliance Officercontrol
        since 12/2008 · owns 50% to 75%
      • G••••• T••••• J•••• · Member
        since 12/2011 · 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 · 251 to 247
        Mar 15, 2016 to Feb 21, 2017
      • Advisory employees · 2 to 1
        Mar 15, 2016 to Feb 21, 2017
      • Employees · 5 to 3
        Mar 15, 2016 to Feb 21, 2017
      • State-registered IARs · 2 to 1
        Mar 15, 2016 to Feb 21, 2017
      • Discretionary RAUM · $118M to $116M
        Mar 15, 2016 to Feb 21, 2017
      • Non-discretionary RAUM · $5.7M to $5.0M
        Mar 15, 2016 to Feb 21, 2017
      • RAUM · $124M to $121M
        Mar 15, 2016 to Feb 21, 2017
      • Accounts · 242 to 251
        Jan 4, 2016 to Mar 15, 2016
      • Advisory employees · 1 to 2
        Jan 4, 2016 to Mar 15, 2016
      • Employees · 4 to 5
        Jan 4, 2016 to Mar 15, 2016
      • Insurance-licensed employees · 0 to 1
        Jan 4, 2016 to Mar 15, 2016
      • State-registered IARs · 1 to 2
        Jan 4, 2016 to Mar 15, 2016
      • Discretionary RAUM · $118M to $118M
        Jan 4, 2016 to Mar 15, 2016
      • Non-discretionary RAUM · $6.2M to $5.7M
        Jan 4, 2016 to Mar 15, 2016
      • RAUM · $124M to $124M
        Jan 4, 2016 to Mar 15, 2016
      • HQ city · T•••• to LUTZ
        Mar 12, 2015 to Sep 14, 2015
      • Accounts · 249 to 242
        Mar 17, 2014 to Mar 12, 2015
      • Discretionary RAUM · $108M to $118M
        Mar 17, 2014 to Mar 12, 2015
      • Non-discretionary RAUM · $6.4M to $6.2M
        Mar 17, 2014 to Mar 12, 2015
      • RAUM · $114M to $124M
        Mar 17, 2014 to Mar 12, 2015
      • Accounts · 235 to 249
        Mar 4, 2013 to Mar 17, 2014
      • Advisory activities · 4 to 3
        Mar 4, 2013 to Mar 17, 2014
      • Financial planning clients · 51-100 to 0
        Mar 4, 2013 to Mar 17, 2014
      • State-registered IARs · 0 to 1
        Mar 4, 2013 to Mar 17, 2014
      • Discretionary RAUM · $97.5M to $108M
        Mar 4, 2013 to Mar 17, 2014
      • Non-discretionary RAUM · $7.6M to $6.4M
        Mar 4, 2013 to Mar 17, 2014
      • RAUM · $105M to $114M
        Mar 4, 2013 to Mar 17, 2014
      • Accounts · 228 to 235
        Aug 16, 2012 to Mar 4, 2013
      • Advisory employees · unset to 1.0
        Aug 16, 2012 to Mar 4, 2013
      • Employees · unset to 4.0
        Aug 16, 2012 to Mar 4, 2013
      • Discretionary RAUM · $91.8M to $97.5M
        Aug 16, 2012 to Mar 4, 2013
      • Non-discretionary RAUM · $9.5M to $7.6M
        Aug 16, 2012 to Mar 4, 2013
      • RAUM · $101M to $105M
        Aug 16, 2012 to Mar 4, 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