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Former SEC-registered adviser

M••• B•••• W••••• A•••••••• L•••••

Former SEC-registered adviserScottsdale, ArizonaCRD 150357SEC 801-70211IAPD
Latest filing Mar 2, 2015
First filing on the tape Feb 23, 2012 · 5 filings
RAUM
$216M
reported, Item 5.F
Discretionary
96%
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
5 filings and snapshots on the tape
RAUM$216M as of Mar 2, 2015
Feb 23, 2012$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 2, 2015
Feb 23, 20120 then
Employees (5.A)2 as of Mar 2, 2015
Feb 11, 20134 then
Private funds: no history
RAUM +9.1% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 2015; every figure names its basis
RAUM per advisor
$108MderivedRAUM 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
$435,912derivedRAUM over accounts (5.F.2.f)
Discretionary
96%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
+9.1%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, 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)
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
496reported
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
      • B••••••••• L•••• A•• · Shareholdercontrol
        since 04/2009 · owns 25% to 50%
      • M•••• W••••••• D••••• · Shareholder And Chief Compliance Officercontrol
        since 04/2009 · 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
      • Accounts · 472 to 496
        Sep 15, 2014 to Mar 2, 2015
      • Employees · 4 to 2
        Sep 15, 2014 to Mar 2, 2015
      • Organization form · Limited Liability Company to Corporation
        Sep 15, 2014 to Mar 2, 2015
      • Discretionary RAUM · $189M to $207M
        Sep 15, 2014 to Mar 2, 2015
      • Non-discretionary RAUM · $9.5M to $9.4M
        Sep 15, 2014 to Mar 2, 2015
      • RAUM · $198M to $216M
        Sep 15, 2014 to Mar 2, 2015
      • Accounts · 426 to 472
        Feb 11, 2013 to Feb 19, 2014
      • Discretionary RAUM · $170M to $189M
        Feb 11, 2013 to Feb 19, 2014
      • Non-discretionary RAUM · $9.2M to $9.5M
        Feb 11, 2013 to Feb 19, 2014
      • RAUM · $180M to $198M
        Feb 11, 2013 to Feb 19, 2014
      • Accounts · 410 to 426
        Feb 23, 2012 to Feb 11, 2013
      • Advisory employees · unset to 2.0
        Feb 23, 2012 to Feb 11, 2013
      • Employees · unset to 4.0
        Feb 23, 2012 to Feb 11, 2013
      • Financial planning clients · 0 to unset
        Feb 23, 2012 to Feb 11, 2013
      • State-registered IARs · 0 to 2
        Feb 23, 2012 to Feb 11, 2013
      • Discretionary RAUM · $150M to $170M
        Feb 23, 2012 to Feb 11, 2013
      • Non-discretionary RAUM · $9.4M to $9.2M
        Feb 23, 2012 to Feb 11, 2013
      • RAUM · $159M to $180M
        Feb 23, 2012 to Feb 11, 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