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Former SEC-registered adviser

J••• F•••••••• L••

Former SEC-registered adviserLocust Valley, New YorkCRD 150016SEC 801-70229IAPD
Latest filing Mar 28, 2017
First filing on the tape Mar 22, 2012 · 10 filings
RAUM
$561M
reported, Item 5.F
Discretionary
53%
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
10
5 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$561M as of Mar 28, 2017
Mar 22, 2012$350M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Mar 13, 20130 then
Employees (5.A)10 as of Mar 28, 2017
Mar 13, 201310 then
Private funds: no history
RAUM +22% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$290,172derivedRAUM over accounts (5.F.2.f)
Discretionary
53%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
1,932reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• J•••• A••••• · Managing Member/Chief Compliance Officercontrol
        since 07/2004 · owns 75% or more
      • G•••••••• J•••• · Chief Operating Officercontrol
        since 12/2016 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 974 to 1,932
        Mar 28, 2016 to Mar 28, 2017
      • Insurance-licensed employees · 2 to 1
        Mar 28, 2016 to Mar 28, 2017
      • Discretionary RAUM · $272M to $295M
        Mar 28, 2016 to Mar 28, 2017
      • Non-discretionary RAUM · $188M to $265M
        Mar 28, 2016 to Mar 28, 2017
      • RAUM · $460M to $561M
        Mar 28, 2016 to Mar 28, 2017
      • Accounts · 1,017 to 974
        Feb 21, 2015 to Mar 28, 2016
      • Discretionary RAUM · $274M to $272M
        Feb 21, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $125M to $188M
        Feb 21, 2015 to Mar 28, 2016
      • RAUM · $399M to $460M
        Feb 21, 2015 to Mar 28, 2016
      • Accounts · 1,258 to 1,017
        Mar 22, 2014 to Feb 21, 2015
      • Discretionary RAUM · $287M to $274M
        Mar 22, 2014 to Feb 21, 2015
      • Non-discretionary RAUM · $133M to $125M
        Mar 22, 2014 to Feb 21, 2015
      • RAUM · $420M to $399M
        Mar 22, 2014 to Feb 21, 2015
      • Accounts · 1,366 to 1,258
        Mar 13, 2013 to Mar 22, 2014
      • Advisory activities · 2 to 3
        Mar 13, 2013 to Mar 22, 2014
      • Discretionary RAUM · $271M to $287M
        Mar 13, 2013 to Mar 22, 2014
      • Non-discretionary RAUM · $106M to $133M
        Mar 13, 2013 to Mar 22, 2014
      • RAUM · $378M to $420M
        Mar 13, 2013 to Mar 22, 2014
      • Accounts · 1,395 to 1,366
        Jan 3, 2013 to Mar 13, 2013
      • Discretionary RAUM · $258M to $271M
        Jan 3, 2013 to Mar 13, 2013
      • Non-discretionary RAUM · $91.7M to $106M
        Jan 3, 2013 to Mar 13, 2013
      • RAUM · $350M to $378M
        Jan 3, 2013 to Mar 13, 2013
      • Advisory employees · unset to 5.0
        May 24, 2012 to Jan 3, 2013
      • Employees · unset to 10.0
        May 24, 2012 to Jan 3, 2013
      • State-registered IARs · unset to 0.0
        May 24, 2012 to Jan 3, 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