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C••••• I••••••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Alexandria, Virginia

Former SEC-registered adviser, based in Alexandria, Virginia, reporting $32.1M of regulatory assets.

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

As of 2025-06-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $32.1M
RAUM change, 1 year: -4.8%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2025-06-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 9 Jun 2025, RAUM $33.7M to $32.1M (-4.8%) on the Form ADV filed 9 Jun 2025.

Every filed figure, and the identifiersCRD 153464 · SEC 801-71363 · 18 filingsShow

CRD 153464SEC 801-71363First filing on the tape Mar 29, 2012, latest Jun 9, 2025SEC status approved since May 20, 2010IAPD

RAUM

$32.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM -28% a year over three years · the tape starts Mar 29, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$32.1M as of Jun 9, 2025

Mar 29, 2012$90.1M then

HNW client RAUM$0 as of Jun 9, 2025

Mar 30, 2018$0 then

State-registered IARs (5.B.3)1 as of Jun 9, 2025

Mar 29, 20120 then

Employees (5.A)2 as of Jun 9, 2025

Mar 21, 20132 then

Private funds: no history

RAUM -4.8% over the last fiscal year-28% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Jun 9, 2025; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $32.1MderivedRAUM 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: $32.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -4.8%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% investment companies

The breakdown by client type, and the client counts1 client typesShow

Investment companies$32.1M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
Financial planning clients: reported
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 departure Every 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

A••••••• C•••• · Managing Membercontrol
since 03/2010 · owns 50% to 75%
B•••••• K•••• R•••• · Chief Compliance Officercontrol
since 01/2012 · owns less than 5%
W••••• A•••••• J••••• · Managing Membercontrol
since 03/2010 · 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

Financial planning clients · unset to
Mar 19, 2025 to Jun 9, 2025
Discretionary RAUM · $33.7M to $32.1M
Mar 25, 2024 to Mar 19, 2025
RAUM · $33.7M to $32.1M
Mar 25, 2024 to Mar 19, 2025
Accounts · 2 to 1
Jan 2, 2024 to Mar 25, 2024
Discretionary RAUM · $68.2M to $33.7M
Jan 2, 2024 to Mar 25, 2024

Full history · 46 changes

RAUM · $68.2M to $33.7M
Jan 2, 2024 to Mar 25, 2024
Discretionary RAUM · $86.2M to $68.2M
Mar 25, 2022 to Mar 23, 2023
RAUM · $86.2M to $68.2M
Mar 25, 2022 to Mar 23, 2023
Discretionary RAUM · $106M to $86.2M
Mar 29, 2021 to Mar 25, 2022
RAUM · $106M to $86.2M
Mar 29, 2021 to Mar 25, 2022
Discretionary RAUM · $126M to $106M
Mar 30, 2020 to Mar 29, 2021
RAUM · $126M to $106M
Mar 30, 2020 to Mar 29, 2021
Discretionary RAUM · $111M to $126M
Mar 31, 2019 to Mar 30, 2020
RAUM · $111M to $126M
Mar 31, 2019 to Mar 30, 2020
Accounts · 1 to 2
Mar 30, 2018 to Mar 31, 2019
Discretionary RAUM · $192M to $111M
Mar 30, 2018 to Mar 31, 2019
RAUM · $192M to $111M
Mar 30, 2018 to Mar 31, 2019
Charity clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Corporate clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
HNW clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Individual clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Pension plan clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Pooled vehicle clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Other offices · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Discretionary RAUM · $169M to $192M
Mar 30, 2017 to Mar 30, 2018
HNW RAUM · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Individual RAUM · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Pension RAUM · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Pooled vehicle RAUM · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
RAUM · $169M to $192M
Mar 30, 2017 to Mar 30, 2018
Discretionary RAUM · $147M to $169M
Mar 22, 2016 to Mar 29, 2017
RAUM · $147M to $169M
Mar 22, 2016 to Mar 29, 2017
Discretionary RAUM · $146M to $147M
Mar 24, 2015 to Mar 22, 2016
RAUM · $146M to $147M
Mar 24, 2015 to Mar 22, 2016
Discretionary RAUM · $118M to $146M
Mar 19, 2014 to Mar 24, 2015
RAUM · $118M to $146M
Mar 19, 2014 to Mar 24, 2015
Discretionary RAUM · $99.9M to $118M
Sep 23, 2013 to Mar 19, 2014
RAUM · $99.9M to $118M
Sep 23, 2013 to Mar 19, 2014
Advisory employees · unset to 2.0
Mar 29, 2012 to Mar 21, 2013
BD registered reps · unset to 2.0
Mar 29, 2012 to Mar 21, 2013
Employees · unset to 2.0
Mar 29, 2012 to Mar 21, 2013
HQ city · unset to ALEXANDRIA
Mar 29, 2012 to Mar 21, 2013
HQ state · unset to VA
Mar 29, 2012 to Mar 21, 2013
State-registered IARs · 0 to 1
Mar 29, 2012 to Mar 21, 2013
Discretionary RAUM · $90.1M to $99.9M
Mar 29, 2012 to Mar 21, 2013
RAUM · $90.1M to $99.9M
Mar 29, 2012 to Mar 21, 2013

Signals

1 dated events

••• Locked
Dec 20, 2025 · Left the SEC roster · 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

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