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Former SEC-registered adviser

S••••• F•••••••• S••••••••• L••

Former SEC-registered adviserCRD 150380SEC 801-107850IAPD
Latest filing Feb 14, 2023
First filing on the tape May 11, 2016 · 10 filings
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$191M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
10 filings and snapshots on the tape
RAUM$191M as of Feb 14, 2023
Mar 17, 2017$134M then
HNW client RAUM$190M as of Feb 14, 2023
Mar 21, 2018$166M then
State-registered IARs (5.B.3)1 as of Feb 14, 2023
Mar 17, 20171 then
Employees (5.A)1 as of Feb 14, 2023
Mar 17, 20171 then
Private funds: no history
RAUM -32% over the last fiscal year-5.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 14, 2023; every figure names its basis
RAUM per advisor
$191MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.3MderivedHNW RAUM over HNW clients
Average account
$946,814derivedRAUM 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
-32%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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • High-net-worth individuals$190M99%
  • Individuals$1.4M0.7%
Individual clients
n/areported
HNW clients
30reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
202reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • P•••••• J•••• M•••••• · Member & Chief Compliance Officercontrol
        since 05/2009 · 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
      • Accounts · 230 to 202
        Feb 11, 2022 to Feb 14, 2023
      • HNW clients · 49 to 30
        Feb 11, 2022 to Feb 14, 2023
      • Financial planning clients · 51-100 to 26-50
        Feb 11, 2022 to Feb 14, 2023
      • Discretionary RAUM · $282M to $191M
        Feb 11, 2022 to Feb 14, 2023
      • HNW RAUM · $281M to $190M
        Feb 11, 2022 to Feb 14, 2023
      • Individual RAUM · $1.3M to $1.4M
        Feb 11, 2022 to Feb 14, 2023
      • RAUM · $282M to $191M
        Feb 11, 2022 to Feb 14, 2023
      • Accounts · 231 to 230
        Jan 29, 2021 to Feb 11, 2022
      • Discretionary RAUM · $246M to $282M
        Jan 29, 2021 to Feb 11, 2022
      • HNW RAUM · $245M to $281M
        Jan 29, 2021 to Feb 11, 2022
      • Individual RAUM · $870,923 to $1.3M
        Jan 29, 2021 to Feb 11, 2022
      • RAUM · $246M to $282M
        Jan 29, 2021 to Feb 11, 2022
      • Accounts · 221 to 231
        Jun 29, 2020 to Jan 29, 2021
      • HNW clients · 41 to 49
        Jun 29, 2020 to Jan 29, 2021
      • Individual clients · 6.0 to unset
        Jun 29, 2020 to Jan 29, 2021
      • Discretionary RAUM · $227M to $246M
        Jun 29, 2020 to Jan 29, 2021
      • HNW RAUM · $224M to $245M
        Jun 29, 2020 to Jan 29, 2021
      • Individual RAUM · $2.8M to $870,923
        Jun 29, 2020 to Jan 29, 2021
      • RAUM · $227M to $246M
        Jun 29, 2020 to Jan 29, 2021
      • Accounts · 211 to 221
        Jan 8, 2019 to Mar 10, 2020
      • HNW clients · 47 to 41
        Jan 8, 2019 to Mar 10, 2020
      • Individual clients · unset to 6.0
        Jan 8, 2019 to Mar 10, 2020
      • Other offices · 1 to 0
        Jan 8, 2019 to Mar 10, 2020
      • Discretionary RAUM · $161M to $227M
        Jan 8, 2019 to Mar 10, 2020
      • HNW RAUM · $161M to $224M
        Jan 8, 2019 to Mar 10, 2020
      • Individual RAUM · unset to 2845445.0
        Jan 8, 2019 to Mar 10, 2020
      • RAUM · $161M to $227M
        Jan 8, 2019 to Mar 10, 2020
      • Accounts · 208 to 211
        Mar 21, 2018 to Jan 8, 2019
      • HNW clients · 50 to 47
        Mar 21, 2018 to Jan 8, 2019
      • Individual clients · 6.0 to unset
        Mar 21, 2018 to Jan 8, 2019
      • Financial planning clients · 26-50 to 51-100
        Mar 21, 2018 to Jan 8, 2019
      • Discretionary RAUM · $166M to $161M
        Mar 21, 2018 to Jan 8, 2019
      • HNW RAUM · $166M to $161M
        Mar 21, 2018 to Jan 8, 2019
      • Individual RAUM · 77082.0 to unset
        Mar 21, 2018 to Jan 8, 2019
      • RAUM · $166M to $161M
        Mar 21, 2018 to Jan 8, 2019
      • Accounts · 193 to 208
        Mar 17, 2017 to Mar 21, 2018
      • HNW clients · unset to 50.0
        Mar 17, 2017 to Mar 21, 2018
      • Individual clients · unset to 6.0
        Mar 17, 2017 to Mar 21, 2018
      • Other offices · unset to 1.0
        Mar 17, 2017 to Mar 21, 2018
      • Discretionary RAUM · $134M to $166M
        Mar 17, 2017 to Mar 21, 2018
      Signals
      1 dated events
      • S••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
        May 11, 2016 · 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.
      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