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Former SEC-registered adviserFormer SEC adviser· Vero Beach, Florida

Former SEC-registered adviser, based in Vero Beach, Florida, reporting $103M of regulatory assets.

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

Last reported RAUM
$103M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+12%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $103M
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 18 Form ADV filings for this adviser, the latest 6.3 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 148989 · SEC 801-70193 · 18 filingsShow
CRD 148989SEC 801-70193First filing on the tape Feb 1, 2012, latest Jun 25, 2020IAPD
RAUM
$103M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$103M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$103M as of Feb 19, 2020
Feb 1, 2012$104M then
HNW client RAUM$100M as of Feb 19, 2020
Feb 5, 2018$92.9M then
State-registered IARs (5.B.3)2 as of Feb 19, 2020
Feb 21, 20132 then
Employees (5.A)3 as of Feb 19, 2020
Feb 21, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+4.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 25, 2020; every figure names its basis
RAUM per advisor
$51.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$982,977derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • High-net-worth individuals$100M97%
  • Individuals$2.9M2.8%
  • Charitable organizations$10.0%
Individual clients
14reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
105reported
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
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
    • H•••••• M••••••• S••••• · Managing Membercontrol
      since 06/2008 · owns 50% to 75%
    • M•••••• K••••••• M• · Managing Member/Chief Compliance Officercontrol
      since 05/2009 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 115 to 105
      Feb 20, 2019 to Feb 19, 2020
    • HNW clients · 25 to 26
      Feb 20, 2019 to Feb 19, 2020
    • Individual clients · 13 to 14
      Feb 20, 2019 to Feb 19, 2020
    • Discretionary RAUM · $90.5M to $101M
      Feb 20, 2019 to Feb 19, 2020
    • HNW RAUM · $90.6M to $100M
      Feb 20, 2019 to Feb 19, 2020
    • Individual RAUM · $1.8M to $2.9M
      Feb 20, 2019 to Feb 19, 2020
    • Non-discretionary RAUM · $1.9M to $2.1M
      Feb 20, 2019 to Feb 19, 2020
    • RAUM · $92.4M to $103M
      Feb 20, 2019 to Feb 19, 2020
    • Advisory employees · 1 to 2
      Feb 5, 2018 to Feb 20, 2019
    • HNW clients · 26 to 25
      Feb 5, 2018 to Feb 20, 2019
    • Employees · 2 to 3
      Feb 5, 2018 to Feb 20, 2019
    • State-registered IARs · 1 to 2
      Feb 5, 2018 to Feb 20, 2019
    • Discretionary RAUM · $92.8M to $90.5M
      Feb 5, 2018 to Feb 20, 2019
    • HNW RAUM · $92.9M to $90.6M
      Feb 5, 2018 to Feb 20, 2019
    • Individual RAUM · $2.5M to $1.8M
      Feb 5, 2018 to Feb 20, 2019
    • Non-discretionary RAUM · $2.6M to $1.9M
      Feb 5, 2018 to Feb 20, 2019
    • RAUM · $95.4M to $92.4M
      Feb 5, 2018 to Feb 20, 2019
    • Accounts · 114 to 115
      Apr 3, 2017 to Feb 5, 2018
    • HNW clients · unset to 26.0
      Apr 3, 2017 to Feb 5, 2018
    • Individual clients · unset to 13.0
      Apr 3, 2017 to Feb 5, 2018
    • Other offices · unset to 1.0
      Apr 3, 2017 to Feb 5, 2018
    • Discretionary RAUM · $89.4M to $92.8M
      Apr 3, 2017 to Feb 5, 2018
    • HNW RAUM · unset to 92897603.0
      Apr 3, 2017 to Feb 5, 2018
    • Individual RAUM · unset to 2481294.0
      Apr 3, 2017 to Feb 5, 2018
    • Non-discretionary RAUM · $1.8M to $2.6M
      Apr 3, 2017 to Feb 5, 2018
    • RAUM · $91.2M to $95.4M
      Apr 3, 2017 to Feb 5, 2018
    • Accounts · 141 to 114
      Nov 9, 2016 to Mar 16, 2017
    • Advisory employees · 3 to 1
      Nov 9, 2016 to Mar 16, 2017
    • Employees · 4 to 2
      Nov 9, 2016 to Mar 16, 2017
    • State-registered IARs · 3 to 1
      Nov 9, 2016 to Mar 16, 2017
    • Discretionary RAUM · $95.8M to $89.4M
      Nov 9, 2016 to Mar 16, 2017
    • Non-discretionary RAUM · $0 to $1.8M
      Nov 9, 2016 to Mar 16, 2017
    • RAUM · $95.8M to $91.2M
      Nov 9, 2016 to Mar 16, 2017
    • Accounts · 113 to 141
      Feb 27, 2015 to Feb 18, 2016
    • Discretionary RAUM · $96.2M to $95.8M
      Feb 27, 2015 to Feb 18, 2016
    • RAUM · $96.2M to $95.8M
      Feb 27, 2015 to Feb 18, 2016
    • Accounts · 118 to 113
      Nov 6, 2014 to Feb 27, 2015
    • Discretionary RAUM · $93.2M to $96.2M
      Nov 6, 2014 to Feb 27, 2015
    • RAUM · $93.2M to $96.2M
      Nov 6, 2014 to Feb 27, 2015
    • Accounts · 138 to 118
      Jan 13, 2014 to Mar 5, 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