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Former SEC-registered adviser

A•• C•••••• A•••••••• I•••

Former SEC-registered adviserJericho, New YorkCRD 155121SEC 801-71875IAPD
Latest filing Mar 29, 2022
First filing on the tape Apr 3, 2012 · 15 filings
RAUM
$132M
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
100%
$132M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$132M as of Mar 29, 2022
Apr 3, 2012$90.1M then
HNW client RAUM$60.0M as of Mar 29, 2022
Mar 28, 2018$36.1M then
State-registered IARs (5.B.3)2 as of Mar 29, 2022
Apr 3, 20120 then
Employees (5.A)3 as of Mar 29, 2022
Apr 8, 20134 then
Private funds: no history
RAUM -0.8% over the last fiscal year+7.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
RAUM per advisor
$66.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
193derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$789,474derivedHNW RAUM over HNW clients
Average account
$78,712derivedRAUM over accounts (5.F.2.f)
Discretionary
45%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.6%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
  • 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
  • Individuals$72.0M55%
  • High-net-worth individuals$60.0M45%
Individual clients
310reported
HNW clients
76reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,677reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
      • S••••••••• A••••••• R••••• · President And Chief Compliance Officercontrol
        since 08/2010 · 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 · 1,652 to 1,677
        Jul 6, 2021 to Mar 29, 2022
      • BD registered reps · 2 to 3
        Jul 6, 2021 to Mar 29, 2022
      • HNW clients · 70 to 76
        Jul 6, 2021 to Mar 29, 2022
      • Individual clients · 292 to 310
        Jul 6, 2021 to Mar 29, 2022
      • Insurance-licensed employees · 0 to 1
        Jul 6, 2021 to Mar 29, 2022
      • Financial planning clients · 51-100 to 101-250
        Jul 6, 2021 to Mar 29, 2022
      • Individual RAUM · $73.0M to $72.0M
        Jul 6, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $73.0M to $72.0M
        Jul 6, 2021 to Mar 29, 2022
      • RAUM · $133M to $132M
        Jul 6, 2021 to Mar 29, 2022
      • Accounts · 350 to 1,652
        Apr 16, 2020 to Mar 30, 2021
      • HNW clients · 40 to 70
        Apr 16, 2020 to Mar 30, 2021
      • Individual clients · 310 to 292
        Apr 16, 2020 to Mar 30, 2021
      • Financial planning clients · 251-500 to 51-100
        Apr 16, 2020 to Mar 30, 2021
      • Discretionary RAUM · $50.0M to $60.0M
        Apr 16, 2020 to Mar 30, 2021
      • HNW RAUM · $50.0M to $60.0M
        Apr 16, 2020 to Mar 30, 2021
      • Individual RAUM · $68.5M to $73.0M
        Apr 16, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $68.5M to $73.0M
        Apr 16, 2020 to Mar 30, 2021
      • RAUM · $118M to $133M
        Apr 16, 2020 to Mar 30, 2021
      • HNW clients · 25 to 40
        Mar 28, 2019 to Apr 16, 2020
      • Individual clients · 325 to 310
        Mar 28, 2019 to Apr 16, 2020
      • Discretionary RAUM · $20.1M to $50.0M
        Mar 28, 2019 to Apr 16, 2020
      • HNW RAUM · $36.1M to $50.0M
        Mar 28, 2019 to Apr 16, 2020
      • Individual RAUM · $68.8M to $68.5M
        Mar 28, 2019 to Apr 16, 2020
      • Non-discretionary RAUM · $84.8M to $68.5M
        Mar 28, 2019 to Apr 16, 2020
      • RAUM · $105M to $118M
        Mar 28, 2019 to Apr 16, 2020
      • Accounts · 346 to 350
        Mar 28, 2018 to Mar 28, 2019
      • Employees · 2 to 3
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $19.1M to $20.1M
        Mar 28, 2018 to Mar 28, 2019
      • Individual RAUM · $71.5M to $68.8M
        Mar 28, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $88.6M to $84.8M
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $108M to $105M
        Mar 28, 2018 to Mar 28, 2019
      • Accounts · 1,123 to 346
        Mar 31, 2017 to Mar 28, 2018
      • Advisory employees · 1 to 2
        Mar 31, 2017 to Mar 28, 2018
      • HNW clients · unset to 25.0
        Mar 31, 2017 to Mar 28, 2018
      • Individual clients · unset to 325.0
        Mar 31, 2017 to Mar 28, 2018
      • State-registered IARs · 1 to 2
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $17.3M to $19.1M
        Mar 31, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 36136616.0
        Mar 31, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 71504579.0
        Mar 31, 2017 to Mar 28, 2018
      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