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Former SEC-registered adviser

G••••••••• I••••••••• • D••••••••• L••

Former SEC-registered adviserMarietta, GeorgiaCRD 150302SEC 801-71799IAPD
Latest filing Mar 27, 2015
First filing on the tape Feb 15, 2012 · 17 filings
RAUM
$100M
reported, Item 5.F
Discretionary
0.0%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$100M as of Mar 27, 2015
Mar 23, 2012$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 23, 20120 then
Employees (5.A)3 as of Mar 27, 2015
Apr 30, 20134 then
Private funds: no history
RAUM +0.0% over the last fiscal year+0.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2015; 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
$100MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+0.0%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 assets, hourly, fixed fees, performance-based, commissions, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performance, commissionsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M•••••• T••• · Chief Compliance Officercontrol
    since 02/2012 · owns 5% to 10%
Entity owners
  • P•••••• B••• S••••• · Owner
    direct · owns 75% or more
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
  • Business name · P•••••• F•••••••• M••••••••• L•• to G••••••••• I••••••••• • D••••••••• L••
    Oct 2, 2014 to Mar 27, 2015
  • Employees · 4 to 3
    Oct 2, 2014 to Mar 27, 2015
  • Legal name · P•••••• F•••••••• M••••••••• L•• to G••••••••• I••••••••• • D••••••••• L••
    Oct 2, 2014 to Oct 2, 2014
  • BD registered reps · 3 to 0
    Dec 20, 2013 to Mar 22, 2014
  • State-registered IARs · 3 to 0
    Dec 20, 2013 to Mar 22, 2014
  • HQ city · JACKSONVILLE to MARIETTA
    Dec 5, 2013 to Dec 20, 2013
  • HQ state · FL to GA
    Dec 5, 2013 to Dec 20, 2013
  • Discretionary RAUM · $100M to $0
    Jan 3, 2013 to Apr 30, 2013
  • Non-discretionary RAUM · $0 to $100M
    Jan 3, 2013 to Apr 30, 2013
  • Advisory employees · unset to 3.0
    Aug 28, 2012 to Dec 20, 2012
  • BD registered reps · 0 to 3
    Aug 28, 2012 to Dec 20, 2012
  • Employees · unset to 4.0
    Aug 28, 2012 to Dec 20, 2012
  • State-registered IARs · 0 to 3
    Aug 28, 2012 to Dec 20, 2012
  • HQ city · unset to JACKSONVILLE
    Feb 15, 2012 to Feb 15, 2012
  • HQ state · unset to FL
    Feb 15, 2012 to Feb 15, 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