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Y•••••• C•••••• M••••••••• C••

Former SEC-registered adviserFormer SEC adviser1 private funds· Charlotte, North Carolina

Former SEC-registered adviser, based in Charlotte, North Carolina, reporting $1.0M of regulatory assets.

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

Last reported RAUM
$1.0M
Form ADV
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. No dated change on record yet.

Every filed figure, and the identifiersCRD 154932 · SEC 801-71868 · 15 filingsShow
CRD 154932SEC 801-71868Legal name Y•••••• C•••••• M••••••••• C•• C••••• F•••• L•••First filing on the tape Aug 15, 2012, latest Aug 14, 2013IAPD
RAUM
$1.0M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$100,000 gross assets
History
15 filings and snapshots on the tape

Filed figures over time · the tape starts Aug 15, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: $1.0M
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 19, 2013
Sep 27, 20120 then
Employees (5.A): 2
Private funds1 as of Jun 19, 2013
Sep 27, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 14, 2013; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$1.0MderivedRAUM 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
$28,571derivedRAUM 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
unknownderivedbetween 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, hourly, fixed fees, subscription, performance-based, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
35reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performance, commissionsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• F••••Hedge Fund$100,0005Jan 23, 2013
      Y•••••Hedge Fund$30,0003Aug 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• F••••• N•• · Chief Compliance Officercontrol
        since 10/2010 · 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
      • Accounts · unset to 35.0
        Feb 1, 2013 to Jun 19, 2013
      • Legal name · D••••• F•••• NMN to Y•••••• C•••••• M••••••••• C•• C••••• F•••• L•••
        Feb 1, 2013 to Jun 19, 2013
      • Discretionary RAUM · unset to 1000000.0
        Feb 1, 2013 to Jun 19, 2013
      • Non-discretionary RAUM · unset to 0.0
        Feb 1, 2013 to Jun 19, 2013
      • RAUM · unset to 1000000.0
        Feb 1, 2013 to Jun 19, 2013
      Full history · 17 changes
      • Advisory employees · unset to 1.0
        Oct 23, 2012 to Jan 23, 2013
      • BD registered reps · 0 to 1
        Oct 23, 2012 to Jan 23, 2013
      • Employees · unset to 2.0
        Oct 23, 2012 to Jan 23, 2013
      • State-registered IARs · 0 to 1
        Oct 23, 2012 to Jan 23, 2013
      • Legal name · Y•••••• C•••••• M••••••••• C•• to D••••• F•••• NMN
        Sep 27, 2012 to Oct 2, 2012
      • Succession · true to false
        Sep 27, 2012 to Oct 2, 2012
      • Succession · false to true
        Sep 14, 2012 to Sep 27, 2012
      • Business name · Y•••••• C•••••• M••••••••• to Y•••••• C•••••• M••••••••• C••
        Aug 31, 2012 to Sep 4, 2012
      • Legal name · Y•••••• C•••••• M••••••••• to Y•••••• C•••••• M••••••••• C••
        Aug 31, 2012 to Sep 4, 2012
      • Advisory activities · 2 to 7
        Aug 15, 2012 to Aug 31, 2012
      • Business name · Y•••••• C•••••• to Y•••••• C•••••• M•••••••••
        Aug 15, 2012 to Aug 31, 2012
      • Legal name · D•••••, F•••• NMN to Y•••••• C•••••• M•••••••••
        Aug 15, 2012 to Aug 31, 2012
      Signals
      1 dated events
      • ••• Locked
        Sep 27, 2012 · Succession (Item 4) · fact
      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