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Former SEC-registered adviser

S•••••••• A•••• M••••••••• L•••

Former SEC-registered adviserLa Paz, CRD 152171SEC 801-70903IAPD
Latest filing Mar 25, 2021
First filing on the tape Mar 27, 2012 · 18 filings
RAUM
$16.0M
reported, Item 5.F
Discretionary
100%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$16.0M as of Mar 25, 2021
Mar 27, 2012$23.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2021
Mar 14, 20130 then
Employees (5.A)1 as of Mar 25, 2021
Mar 14, 20132 then
Private funds: no history
RAUM +38% over the last fiscal year+9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2021; 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
$16.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+38%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 assetsreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$16.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      • Z••••• D••••• I••• · Directorcontrol
        since 08/2009 · owns less than 5%
      • V•••••• A••••••• A•••••• · Ownercontrol
        since 02/2016 · owns 25% to 50% of G••• S•••
      • B•••••• K•••• R•••• · Chief Compliance Officer
        since 01/2015 · owns less than 5%
      Entity owners
      • G••• S••• · Owner
        direct · owns 75% or more
      • Z•••• · Owner
        indirect · owns 50% to 75% of G••• S•••
      Related persons
      Schedule D 7.A
      • B•••• M•••••••• S•••• C••• S•••
        n
      • M•••••••• S•••• C••• A•••••• D• B•••• S•••
        broker-dealern
      • S••••••• A••••••••• D• F••••• D• I•••••••• M•••••••• S•••• C••• S•••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $11.6M to $16.0M
        Mar 30, 2020 to Mar 25, 2021
      • RAUM · $11.6M to $16.0M
        Mar 30, 2020 to Mar 25, 2021
      • Other offices · 1 to 0
        May 8, 2019 to Mar 30, 2020
      • Discretionary RAUM · $11.5M to $11.6M
        May 8, 2019 to Mar 30, 2020
      • RAUM · $11.5M to $11.6M
        May 8, 2019 to Mar 30, 2020
      • Discretionary RAUM · $11.3M to $11.5M
        Mar 31, 2019 to May 8, 2019
      • RAUM · $11.3M to $11.5M
        Mar 31, 2019 to May 8, 2019
      • Financial planning clients · 0 to unset
        Mar 27, 2018 to Mar 31, 2019
      • Discretionary RAUM · $12.1M to $11.3M
        Mar 27, 2018 to Mar 31, 2019
      • RAUM · $12.1M to $11.3M
        Mar 27, 2018 to Mar 31, 2019
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 27, 2018
      • Discretionary RAUM · $10.0M to $12.1M
        Mar 30, 2017 to Mar 27, 2018
      • RAUM · $10.0M to $12.1M
        Mar 30, 2017 to Mar 27, 2018
      • Discretionary RAUM · $7.1M to $10.0M
        Mar 29, 2017 to Mar 30, 2017
      • RAUM · $7.1M to $10.0M
        Mar 29, 2017 to Mar 30, 2017
      • Discretionary RAUM · $10.4M to $7.1M
        Mar 24, 2016 to Mar 29, 2017
      • RAUM · $10.4M to $7.1M
        Mar 24, 2016 to Mar 29, 2017
      • Discretionary RAUM · $5.0M to $10.4M
        Feb 23, 2016 to Mar 24, 2016
      • RAUM · $5.0M to $10.4M
        Feb 23, 2016 to Mar 24, 2016
      • Discretionary RAUM · $26.0M to $5.0M
        Feb 23, 2016 to Feb 23, 2016
      • RAUM · $26.0M to $5.0M
        Feb 23, 2016 to Feb 23, 2016
      • Discretionary RAUM · $29.2M to $26.0M
        Apr 30, 2014 to Mar 26, 2015
      • RAUM · $29.2M to $26.0M
        Apr 30, 2014 to Mar 26, 2015
      • Advisory employees · 2 to 1
        Mar 27, 2014 to Apr 30, 2014
      • Employees · 2 to 1
        Mar 27, 2014 to Apr 30, 2014
      • Discretionary RAUM · $29.7M to $29.2M
        Jul 26, 2013 to Mar 27, 2014
      • RAUM · $29.7M to $29.2M
        Jul 26, 2013 to Mar 27, 2014
      • Advisory employees · unset to 2.0
        Jul 2, 2012 to Mar 14, 2013
      • Employees · unset to 2.0
        Jul 2, 2012 to Mar 14, 2013
      • State-registered IARs · unset to 0.0
        Jul 2, 2012 to Mar 14, 2013
      • Discretionary RAUM · $23.8M to $29.7M
        Jul 2, 2012 to Mar 14, 2013
      • RAUM · $23.8M to $29.7M
        Jul 2, 2012 to Mar 14, 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