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Former SEC-registered adviser

G•••• F•••••••• S••••••• G•••

Former SEC-registered adviserCRD 153405SEC 801-71388IAPD
Latest filing Aug 4, 2023
First filing on the tape Apr 11, 2012 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.2M as of Jan 31, 2014
Apr 11, 2012$4.2M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Aug 4, 2023
Apr 11, 20120 then
Employees (5.A)0 as of Aug 4, 2023
May 13, 20131 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 4, 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
financial planning, publications, educational seminars, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • O•••••• S••••• · Chief Compliance Officer/Executive Officercontrol
        since 12/2009 · 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
      • Advisory employees · 1 to 0
        Mar 27, 2017 to Aug 4, 2023
      • Employees · 1 to 0
        Mar 27, 2017 to Aug 4, 2023
      • Other offices · unset to 0.0
        Mar 27, 2017 to Aug 4, 2023
      • HNW RAUM · unset to 0.0
        Mar 27, 2017 to Aug 4, 2023
      • Individual RAUM · unset to 0.0
        Mar 27, 2017 to Aug 4, 2023
      • Pension RAUM · unset to 0.0
        Mar 27, 2017 to Aug 4, 2023
      • Financial planning clients · 1-10 to 0
        Feb 26, 2016 to Mar 27, 2017
      • Legal name · I••••• G•••• G••• to G•••• F•••••••• S••••••• G•••
        Apr 29, 2015 to Feb 26, 2016
      • Accounts · 1.0 to unset
        Jan 31, 2014 to Apr 29, 2015
      • Business name · I••••• G•••• to G•••• F•••••••• S••••••• G•••
        Jan 31, 2014 to Apr 29, 2015
      • Discretionary RAUM · 2193837.0 to unset
        Jan 31, 2014 to Apr 29, 2015
      • Non-discretionary RAUM · 0.0 to unset
        Jan 31, 2014 to Apr 29, 2015
      • RAUM · 2193837.0 to unset
        Jan 31, 2014 to Apr 29, 2015
      • Advisory activities · 2 to 4
        May 13, 2013 to Jan 31, 2014
      • Financial planning clients · 0 to 1-10
        May 13, 2013 to Jan 31, 2014
      • Discretionary RAUM · $1.7M to $2.2M
        May 13, 2013 to Jan 31, 2014
      • RAUM · $1.7M to $2.2M
        May 13, 2013 to Jan 31, 2014
      • Accounts · 2 to 1
        Apr 11, 2012 to May 13, 2013
      • Advisory employees · unset to 1.0
        Apr 11, 2012 to May 13, 2013
      • Employees · unset to 1.0
        Apr 11, 2012 to May 13, 2013
      • Discretionary RAUM · $1.5M to $1.7M
        Apr 11, 2012 to May 13, 2013
      • Non-discretionary RAUM · $2.7M to $0
        Apr 11, 2012 to May 13, 2013
      • RAUM · $4.2M to $1.7M
        Apr 11, 2012 to May 13, 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