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Former SEC-registered adviserFormer SEC adviser· Florham Park, New Jersey

Former SEC-registered adviser, based in Florham Park, New Jersey, reporting $65.5M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$65.5M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-8.0%
Form ADV, consecutive annual filings
Private clients
42% of RAUM, $27.2M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 13 Form ADV filings for this adviser, the latest 7.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 151659 · SEC 801-72997 · 13 filingsShow
CRD 151659SEC 801-72997First filing on the tape Dec 21, 2011, latest Mar 20, 2019IAPD
RAUM
$65.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
42%
$27.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$65.5M as of Mar 20, 2019
Mar 19, 2012$30.9M then
HNW client RAUM$26.4M as of Mar 20, 2019
Mar 14, 2018$29.2M then
State-registered IARs (5.B.3)3 as of Mar 20, 2019
Mar 19, 20120 then
Employees (5.A)3 as of Mar 20, 2019
Feb 15, 20134 then
Private funds: no history
RAUM -8.0% over the last fiscal year-1.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 20, 2019; every figure names its basis
RAUM per advisor
$21.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.8%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
  • Investment companies$37.0M57%
  • High-net-worth individuals$26.4M40%
  • Pension and profit-sharing plans$1.2M1.9%
  • Individuals$775,1361.2%
  • Corporations and businesses$16,1290.0%
Individual clients
9reported
HNW clients
11reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
45reported
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
      • H•••••• H•••••• E••• · Managing Membercontrol
        since 07/2009 · owns 50% to 75%
      • V••••••••• E•••••• K••• · Managing Membercontrol
        since 07/2009 · 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 · 24 to 45
        Mar 14, 2018 to Mar 20, 2019
      • Individual clients · 10 to 9
        Mar 14, 2018 to Mar 20, 2019
      • Discretionary RAUM · $71.1M to $65.5M
        Mar 14, 2018 to Mar 20, 2019
      • HNW RAUM · $29.2M to $26.4M
        Mar 14, 2018 to Mar 20, 2019
      • Individual RAUM · $785,568 to $775,136
        Mar 14, 2018 to Mar 20, 2019
      • Pension RAUM · $862,164 to $1.2M
        Mar 14, 2018 to Mar 20, 2019
      • RAUM · $71.1M to $65.5M
        Mar 14, 2018 to Mar 20, 2019
      • Accounts · 42 to 24
        Mar 16, 2017 to Mar 14, 2018
      • Corporate clients · unset to 1.0
        Mar 16, 2017 to Mar 14, 2018
      • HNW clients · unset to 11.0
        Mar 16, 2017 to Mar 14, 2018
      • Individual clients · unset to 10.0
        Mar 16, 2017 to Mar 14, 2018
      • Pension plan clients · unset to 1.0
        Mar 16, 2017 to Mar 14, 2018
      • Other offices · unset to 0.0
        Mar 16, 2017 to Mar 14, 2018
      • Discretionary RAUM · $76.1M to $71.1M
        Mar 16, 2017 to Mar 14, 2018
      • HNW RAUM · unset to 29213015.0
        Mar 16, 2017 to Mar 14, 2018
      • Individual RAUM · unset to 785568.0
        Mar 16, 2017 to Mar 14, 2018
      • Pension RAUM · unset to 862164.0
        Mar 16, 2017 to Mar 14, 2018
      • RAUM · $76.1M to $71.1M
        Mar 16, 2017 to Mar 14, 2018
      • Accounts · 38 to 42
        Mar 14, 2016 to Mar 15, 2017
      • Discretionary RAUM · $69.3M to $76.1M
        Mar 14, 2016 to Mar 15, 2017
      • RAUM · $69.3M to $76.1M
        Mar 14, 2016 to Mar 15, 2017
      • Accounts · 31 to 38
        Mar 6, 2015 to Mar 14, 2016
      • Discretionary RAUM · $72.5M to $69.3M
        Mar 6, 2015 to Mar 14, 2016
      • RAUM · $72.5M to $69.3M
        Mar 6, 2015 to Mar 14, 2016
      • Accounts · 26 to 31
        Apr 9, 2014 to Mar 6, 2015
      • Discretionary RAUM · $66.4M to $72.5M
        Apr 9, 2014 to Mar 6, 2015
      • RAUM · $66.4M to $72.5M
        Apr 9, 2014 to Mar 6, 2015
      • Accounts · 22 to 26
        Nov 25, 2013 to Mar 5, 2014
      • Discretionary RAUM · $46.2M to $66.4M
        Nov 25, 2013 to Mar 5, 2014
      • RAUM · $46.2M to $66.4M
        Nov 25, 2013 to Mar 5, 2014
      • Employees · 4 to 3
        Feb 15, 2013 to Nov 25, 2013
      • Accounts · 20 to 22
        Mar 19, 2012 to Feb 15, 2013
      • Advisory employees · unset to 2.0
        Mar 19, 2012 to Feb 15, 2013
      • BD registered reps · 0 to 1
        Mar 19, 2012 to Feb 15, 2013
      • Employees · unset to 4.0
        Mar 19, 2012 to Feb 15, 2013
      • State-registered IARs · 0 to 3
        Mar 19, 2012 to Feb 15, 2013
      • Discretionary RAUM · $30.9M to $46.2M
        Mar 19, 2012 to Feb 15, 2013
      • RAUM · $30.9M to $46.2M
        Mar 19, 2012 to Feb 15, 2013
      • Accounts · 13 to 20
        Dec 21, 2011 to Mar 19, 2012
      • Discretionary RAUM · $14.5M to $30.9M
        Dec 21, 2011 to Mar 19, 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