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W•••••••• C•••••• I•••

Former SEC-registered adviserFormer SEC adviser· Boca Raton, Florida

Former SEC-registered adviser, based in Boca Raton, Florida, reporting $27.6M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$27.6M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
+1 (1 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
Advisors (1)Advisor 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 3 Form ADV filings for this adviser, the latest 14.8 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 149805 · SEC 801-70115 · 3 filingsShow
CRD 149805SEC 801-70115First filing on the tape Feb 9, 2012, latest Mar 8, 2012IAPD
RAUM
$27.6M
reported, Item 5.F
Discretionary
3.6%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$27.6M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$27.6M as of Mar 8, 2012
Feb 9, 2012$27.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 8, 2012; every figure names its basis
RAUM per advisor
$27.6MderivedRAUM 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
$626,428derivedRAUM over accounts (5.F.2.f)
Discretionary
3.6%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 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 assets, performance-basedreportedItem 5.E
Advisory activities
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
44reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••••••• •••••• R•••••••Boca Raton, Fl Nov 10, 202531 y3
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, 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•••••••• A••••••••• •••••• · Chief Compliance Officer/President/Portfolio Manager/Secretarycontrol
      since 01/2009 · owns 25% to 50%
    • L••••• P••••• V••••• · Presidentcontrol
      since 06/2010 · owns 50% to 75% of A•••• S.A
    • P••••• G••••••••• A•••••• · Vice-Presidentcontrol
      since 06/2010 · owns F of A•••• S•••
    • R•••••••• J•••• A••••• · Vice-Presidentcontrol
      since 06/2010 · owns 25% to 50% of A•••• S•••
    • R•••••••• J•••• A••••• · Director/Vice President
      since 05/2010 · owns less than 5%
    Entity owners
    • A•••• S••• · Owners
      direct · 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
    One filing, no change to show.
    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
    $27.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026