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Former SEC-registered adviserFormer SEC adviser· Ridgefield, Connecticut

Former SEC-registered adviser, based in Ridgefield, Connecticut, reporting $41.0M of regulatory assets.

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

Last reported RAUM
$41.0M
Form ADV
RAUM change, 1 year
-56%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 12 Jan 2015, RAUM $93.2M to $41M (-56.0%) on the Form ADV filed 12 Jan 2015.

Every filed figure, and the identifiersCRD 153372 · SEC 801-71371 · 4 filingsShow
CRD 153372SEC 801-71371First filing on the tape Jan 25, 2012, latest Jan 12, 2015IAPD
RAUM
$41.0M
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
Not computed
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape

RAUM -10% a year over three years · the tape starts Jan 25, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$41.0M as of Jan 12, 2015
Jan 25, 2012$56.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 12, 2015
Jan 25, 20120 then
Employees (5.A)7 as of Jan 12, 2015
Jan 24, 20135 then
Private funds: no history
RAUM -56% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 12, 2015; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$41.0MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year
-56%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
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
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••••• J••••• K•••••• · Managing Membercontrol
        since 10/2009 · owns 75% or more
      • L•••• L••••• M•••• · Chief Compliance Officercontrol
        since 09/2010 · owns less than 5%
      • R••••• P•••• J••••• · Chief Operating Officer, Cfocontrol
        since 07/2010 · owns less than 5%
      • B•••• H•••••• B•••• · Membercontrol
        since 08/2007 · owns 50% to 75% of E••• P•••••• V•••••••, LLC
      • B•••• K•••••••• A••• · Membercontrol
        since 08/2007 · owns 50% to 75% of E••• P•••••• V•••••••, LLC
      All 6 control persons
      • J••••• C••••• B••• · Director Of Investments
        since 04/2013 · owns less than 5%
      Entity owners
      • E••• P•••••• V••••••• L•• · Member
        direct · owns 5% to 10%
      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
      • BD registered reps · 1 to 2
        Jan 27, 2014 to Jan 12, 2015
      • Employees · 5 to 7
        Jan 27, 2014 to Jan 12, 2015
      • Discretionary RAUM · $93.2M to $41.0M
        Jan 27, 2014 to Jan 12, 2015
      • RAUM · $93.2M to $41.0M
        Jan 27, 2014 to Jan 12, 2015
      • Discretionary RAUM · $67.7M to $93.2M
        Jan 24, 2013 to Jan 27, 2014
      Full history · 11 changes
      • RAUM · $67.7M to $93.2M
        Jan 24, 2013 to Jan 27, 2014
      • Advisory employees · unset to 2.0
        Jan 25, 2012 to Jan 24, 2013
      • BD registered reps · unset to 1.0
        Jan 25, 2012 to Jan 24, 2013
      • Employees · unset to 5.0
        Jan 25, 2012 to Jan 24, 2013
      • Discretionary RAUM · $56.8M to $67.7M
        Jan 25, 2012 to Jan 24, 2013
      • RAUM · $56.8M to $67.7M
        Jan 25, 2012 to Jan 24, 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026