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Former SEC-registered adviser

S••••••••• C••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 150592SEC 801-70257IAPD
Latest filing Mar 31, 2023
First filing on the tape Mar 28, 2012 · 18 filings
RAUM
$7.1B
reported, Item 5.F
Discretionary
59%
of RAUM
Private clients
0.1%
$9.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
48
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$7.1B as of Mar 31, 2023
Mar 28, 2012$100M then
HNW client RAUM$9.3M as of Mar 31, 2023
Mar 29, 2018$54.9M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Apr 1, 20130 then
Employees (5.A)48 as of Mar 31, 2023
Apr 1, 201325 then
Private funds: no history
RAUM -0.6% over the last fiscal year+0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
$667,064derivedHNW RAUM over HNW clients
Average account
$7.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
59%derivedof RAUM
Institutional
35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-0.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-6.7%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$2.5B35%
  • Banks and thrifts$2.0B28%
  • State and municipal entities$1.9B26%
  • Insurance companies$607M8.6%
  • Pooled investment vehicles$100M1.4%
  • Charitable organizations$21.5M0.3%
  • High-net-worth individuals$9.3M0.1%
Individual clients
0reported
HNW clients
14reported
Pension plan clients
1reported
Charitable clients
11reported
Accounts
971reported
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••••••• D•••••• C••••••••• · Ceocontrol
        since 11/2017 · owns less than 5%
      • F••••••• P••••••• J••••• · Cfocontrol
        since 04/2014 · owns less than 5%
      • S•••••••• R•••••• N••••• · Ccocontrol
        since 03/2014 · owns less than 5%
      • S•••••• J•••••• S••••• · Managing Membercontrol
        since 06/2003 · owns 25% to 50% of S••••••••• P•••••••• L••
      Entity owners
      • S••••••••• P•••••••• L•• · Sole Member
        direct · owns 75% or more
      • C••••••••• E••••• F••• V•• L• · Member
        indirect · owns 25% to 50% of S••••••••• P•••••••• L••
      • S••••••••• P•••••••• L•• · Sole Member
        indirect · owns 75% or more of S••••••••• P•••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Fairhope, AL1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1,063 to 971
        Mar 31, 2022 to Mar 31, 2023
      • Charity clients · 14 to 11
        Mar 31, 2022 to Mar 31, 2023
      • Corporate clients · 281 to 255
        Mar 31, 2022 to Mar 31, 2023
      • HNW clients · 15 to 14
        Mar 31, 2022 to Mar 31, 2023
      • Pension plan clients · unset to 1.0
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 14 to 5
        Mar 31, 2022 to Mar 31, 2023
      • Employees · 40 to 48
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $7.1B to $4.2B
        Mar 31, 2022 to Mar 31, 2023
      • HNW RAUM · $25.8M to $9.3M
        Mar 31, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $0 to $2.9B
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $64.7M to $100M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $7.1B to $7.1B
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 1,474 to 1,063
        Mar 31, 2021 to Mar 31, 2022
      • BD registered reps · 8 to 5
        Mar 31, 2021 to Mar 31, 2022
      • Charity clients · 13 to 14
        Mar 31, 2021 to Mar 31, 2022
      • Corporate clients · 289 to 281
        Mar 31, 2021 to Mar 31, 2022
      • Pension plan clients · 1.0 to unset
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 15 to 14
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 42 to 40
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $6.0B to $7.1B
        Mar 31, 2021 to Mar 31, 2022
      • HNW RAUM · $5.4M to $25.8M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $81.0M to $64.7M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $6.0B to $7.1B
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 2,371 to 1,474
        Jun 30, 2020 to Mar 31, 2021
      • BD registered reps · 5 to 8
        Jun 30, 2020 to Mar 31, 2021
      • Charity clients · 85 to 13
        Jun 30, 2020 to Mar 31, 2021
      • Corporate clients · 581 to 289
        Jun 30, 2020 to Mar 31, 2021
      • HNW clients · 624 to 15
        Jun 30, 2020 to Mar 31, 2021
      • Pension plan clients · 3 to 1
        Jun 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 75 to 15
        Jun 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $7.0B to $6.0B
        Jun 30, 2020 to Mar 31, 2021
      • HNW RAUM · $601M to $5.4M
        Jun 30, 2020 to Mar 31, 2021
      • Pension RAUM · $1.5M to $0
        Jun 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $163M to $81.0M
        Jun 30, 2020 to Mar 31, 2021
      • RAUM · $7.0B to $6.0B
        Jun 30, 2020 to Mar 31, 2021
      • Accounts · 1,577 to 2,371
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 8 to 11
        Mar 29, 2019 to Mar 30, 2020
      • Charity clients · 53 to 85
        Mar 29, 2019 to Mar 30, 2020
      • Corporate clients · 406 to 581
        Mar 29, 2019 to Mar 30, 2020
      • HNW clients · 123 to 624
        Mar 29, 2019 to Mar 30, 2020
      Signals
      3 dated events
      • John Stephen Rotella (Vice Chairman) no longer on Schedule A of S••••••••• C••• M••••••••• L•• (listed 2022-03-31, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • S••••••••• C••• M••••••••• L•• reported RAUM $6.3B, up 53% from $4.1B (2018-06-12 to 2018-11-06)
        Nov 6, 2018 · RAUM change · derived
      • S••••••••• C••• M••••••••• L•• reported RAUM $4.1B, down 27% from $5.6B (2017-03-30 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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