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Former SEC-registered adviser

F••••••••• P•••••••• M••••••••• I•••

Former SEC-registered adviserCRD 153674SEC 801-71425IAPD
Latest filing Mar 31, 2015
First filing on the tape Apr 2, 2012 · 5 filings
RAUM
$92.1M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$186M gross assets
History
5 filings and snapshots on the tape
RAUM$92.1M as of Mar 31, 2015
Apr 2, 2012$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 2, 20120 then
Employees (5.A)3 as of Mar 31, 2015
Apr 1, 20133 then
Private funds6 as of Mar 31, 2015
Apr 2, 20125 then
RAUM -15% over the last fiscal year-4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2015; 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
$15.4MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-15%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 assets, performance-basedreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
$92.1M, 6 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$92.1M for 6 clientsreported
Compensation
% of AUM, performancereported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• M•••••••• F••• L•Hedge Fund$37.9M19Apr 2, 2012
      T•••••• I••• L••Hedge Fund$15.0M10Apr 2, 2012
      ••••• M•••••••• F•••• L••Hedge Fund$1.8M19Apr 2, 2012
      F••••••••• P•••• A•••••• I•• L••Hedge Fund$1.7M1Apr 2, 2012
      A•••••• F••• S•• • P•••• A•••••• S••••••••• P••••••••Hedge Fund$53,7490Apr 2, 2012
      A•••••• F••• S•• • M•••••••• S••••••••• P••••••••Hedge Fund$26,0090Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • W•••• D•••••• C••••• · Directorcontrol
        since 05/1990 · owns 50% to 75%
      • W•••• R•••••• C•••••• · President And Chief Compliance Officercontrol
        since 05/1990 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Kirkland, WA
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 6
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $108M to $92.1M
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 5 to 6
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $108M to $92.1M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $108M to $92.1M
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $108M to $108M
        Apr 1, 2013 to Mar 31, 2014
      • Financial planning clients · 1-10 to unset
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $107M to $108M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $107M to $108M
        Apr 1, 2013 to Mar 31, 2014
      • Related bank · true to false
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 2.0
        Apr 2, 2012 to Apr 1, 2013
      • Assets in custody · $105M to $108M
        Apr 2, 2012 to Apr 1, 2013
      • Employees · unset to 3.0
        Apr 2, 2012 to Apr 1, 2013
      • Discretionary RAUM · $105M to $107M
        Apr 2, 2012 to Apr 1, 2013
      • RAUM · $105M to $107M
        Apr 2, 2012 to Apr 1, 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