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Former SEC-registered adviser

E••••••• I••••••••• L••

Former SEC-registered adviserCRD 150282SEC 801-120594IAPD
Latest filing Mar 22, 2021
First filing on the tape Feb 22, 2021 · 3 filings
RAUM
$9.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$9.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$9.3M
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
3 filings and snapshots on the tape
RAUM$9.3M as of Mar 22, 2021
Feb 22, 2021$9.3M then
HNW client RAUM$8.2M as of Mar 22, 2021
Feb 22, 2021$8.2M then
State-registered IARs (5.B.3)1 as of Mar 22, 2021
Feb 22, 20211 then
Employees (5.A)1 as of Mar 22, 2021
Feb 22, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 22, 2021; every figure names its basis
RAUM per advisor
$9.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.1MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM 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
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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, publications, educational seminars, otherreportedItem 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
  • High-net-worth individuals$8.2M88%
  • Individuals$1.0M11%
  • Corporations and businesses$120,0001.3%
Individual clients
5reported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
M•••••• J•••• A•••••Chartered Financial AnalystMorristown, NjMay 25, 201226 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 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
    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
      • A•••••• M••••••• J•••• · Managing Member, Chief Compliance Officercontrol
        since 04/2009 · owns 75% or more
      • M•••••• M••••• L••••• · No Title - Contributed More Than 5% Of Firm Capital
        since 01/2016 · owns 5% to 10%
      • N•••• J•••• V•••••• · No Title - Contributed More Than 5% Of Firm Capital
        since 07/2016 · owns 10% to 25%
      • S•••••• K•••• N•• · No Title - Contributed More Than 5% Of Firm Capital
        since 01/2015 · owns 10% to 25%
      • T••••••• J•••• D•• · Trustee Of J••• F• A•• J••• D•• T•••••• R•••••••• T••••
        since 08/2016 · owns 5% to 10%
      • T••••••• J•••• F•••••••• · Trustee Of J••• F• A•• J••• D•• T•••••• R•••••••• T••••
        since 08/2016 · owns 5% to 10%
      Entity owners
      • I•• H••••• I••••••••• L•• · No Title - Contributed More Than 5% Of Firm Capital
        direct · owns 5% to 10%
      • J••• F• A•• J••• D•• T•••••• R•••••••• T•••• · No Title - Contributed More Than 5% Of Firm Capital
        direct · owns 5% to 10%
      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
      1 dated events
      • E••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 22, 2021 · 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.
      How to reach
      public business contact points only, each with its source
      Website
      E•••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 21, 2026
      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
      $9.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026