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Former SEC-registered adviser

B•••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserCRD 149906SEC 801-72624IAPD
Latest filing Jun 20, 2014
First filing on the tape Mar 31, 2012 · 7 filings
RAUM
$65.0M
reported, Item 5.F
Discretionary
100%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$65.0M as of Apr 2, 2014
Mar 31, 2012$39.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 2, 2014
Mar 31, 20120 then
Employees (5.A)2 as of Apr 2, 2014
Apr 1, 20132 then
Private funds4 as of Apr 1, 2013
Mar 31, 20124 then
RAUM -69% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 20, 2014; every figure names its basis
RAUM per advisor
$32.5MderivedRAUM 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
$16.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-69%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
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
4reported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• H••••••• L•no longer reportedHedge Fund$500,0001Mar 31, 2012
      A•••• H•••••• I••• L•no longer reportedHedge Fund$100,0001Mar 31, 2012
      A•••• H•••••• I•• L•no longer reportedHedge Fund$100,0001Mar 31, 2012
      A•••• H•••••• I•• L•no longer reportedHedge Fund$5,0001Mar 31, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T••• A•••••• B•••••• · Chief Compliance Officercontrol
        since 01/2006 · owns 25% to 50%
      • T••• B••••••• V•••••• · Managing Membercontrol
        since 01/2006 · owns 25% to 50%
      • T••• A•••••• B•••••• · Membercontrol
        since 12/2005 · owns 25% to 50% of T•• E••••••••• L••
      • T••• A•••••• B•••••• · Trusteecontrol
        since 12/2010 · owns F of C•••••••• E. Tew Irrev Trust - 2010
      • T••• B••••••• V•••••• · Managing Membercontrol
        since 12/2005 · owns 50% to 75% of T•• E••••••••• L••
      • T••• B••••••• V•••••• · Membercontrol
        since 12/2005 · owns 25% to 50% of T•• L•••••• P•••••••••
      • T••• S••••••••• L••••• · Trustee
        since 12/2010 · owns F of S•••••••• L. Tew Irrev Trust - 2010
      • T••• V••••••• A••••• · Trustee
        since 12/2010 · owns F of V•••••• A. Tew Irrev Trust - 2010
      Entity owners
      • T•• E••••••••• L•• · General Partner
        indirect · owns F of T•• L•••••• P•••••••••
      • C•••••••• E• T•• I••••••••• T•••• • 2••• · Non-Voting
        direct · owns 10% to 25%
      • S•••••••• L• T•• I••••••••• T•••• • 2••• · Non-Voting
        direct · owns 10% to 25%
      • T•• L•••••• P••••••••• · Non-Voting
        direct · owns 10% to 25%
      • V•••••• A• T•• I••••••••• T•••• • 2••• · Non-Voting
        direct · owns 10% to 25%
      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 · 16 to 4
        May 9, 2013 to Apr 2, 2014
      • Advisory activities · 4 to 2
        May 9, 2013 to Apr 2, 2014
      • Assets in custody · 34380688.0 to unset
        May 9, 2013 to Apr 2, 2014
      • Custody of client assets · true to false
        May 9, 2013 to Apr 2, 2014
      • Private funds · 4 to unset
        May 9, 2013 to Apr 2, 2014
      • Discretionary RAUM · $208M to $65.0M
        May 9, 2013 to Apr 2, 2014
      • RAUM · $208M to $65.0M
        May 9, 2013 to Apr 2, 2014
      • Accounts · 3 to 16
        Aug 9, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Aug 9, 2012 to Apr 1, 2013
      • Assets in custody · $39.2M to $34.4M
        Aug 9, 2012 to Apr 1, 2013
      • Employees · unset to 2.0
        Aug 9, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 2
        Aug 9, 2012 to Apr 1, 2013
      • Discretionary RAUM · $344M to $208M
        Aug 9, 2012 to Apr 1, 2013
      • RAUM · $344M to $208M
        Aug 9, 2012 to Apr 1, 2013
      • Discretionary RAUM · $39.2M to $344M
        Mar 31, 2012 to Aug 9, 2012
      • RAUM · $39.2M to $344M
        Mar 31, 2012 to Aug 9, 2012
      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