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Former SEC-registered adviser

E•• W••••• M••••••••• L••

Former SEC-registered adviserCRD 149698SEC 801-128337IAPD
Latest filing Aug 29, 2024
First filing on the tape Jun 14, 2023 · 4 filings
RAUM
$125M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
83%
$104M 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
4 filings and snapshots on the tape
RAUM$125M as of Aug 29, 2024
Jun 14, 2023$107M then
HNW client RAUM$98.1M as of Aug 29, 2024
Jun 14, 2023$82.0M then
State-registered IARs (5.B.3)1 as of Aug 29, 2024
Jun 14, 20231 then
Employees (5.A)1 as of Aug 29, 2024
Jun 14, 20231 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 29, 2024; every figure names its basis
RAUM per advisor
$125MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$828,347derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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)
  • 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$98.1M78%
  • Charitable organizations$16.3M13%
  • Individuals$5.6M4.5%
  • Pension and profit-sharing plans$5.1M4.1%
Individual clients
21reported
HNW clients
33reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
151reported
Financial planning clients
0reported
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
    • N•••••• S•••••• C••••••••• · President, Chief Investment Officer & Chief Compliance Officercontrol
      since 02/2009 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Tampa, Fl000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 146 to 151
      Jun 14, 2023 to Mar 8, 2024
    • HNW clients · 29 to 33
      Jun 14, 2023 to Mar 8, 2024
    • Individual clients · 22 to 21
      Jun 14, 2023 to Mar 8, 2024
    • Discretionary RAUM · $103M to $120M
      Jun 14, 2023 to Mar 8, 2024
    • HNW RAUM · $82.0M to $98.1M
      Jun 14, 2023 to Mar 8, 2024
    • Individual RAUM · $6.4M to $5.6M
      Jun 14, 2023 to Mar 8, 2024
    • Non-discretionary RAUM · $4.1M to $5.1M
      Jun 14, 2023 to Mar 8, 2024
    • Pension RAUM · $4.1M to $5.1M
      Jun 14, 2023 to Mar 8, 2024
    • RAUM · $107M to $125M
      Jun 14, 2023 to Mar 8, 2024
    Signals
    2 dated events
    • S••••• C••••••••• N••••• left E•• W••••• M••••••••• L•• for C•••••• P••••••• I••••••••• G•••• L•• (registered 2024-10-09)
      Dec 6, 2024 · Advisor changed firm · fact
    • E•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jun 14, 2023 · 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