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Former SEC-registered adviser

M•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserCenter Valley, PennsylvaniaCRD 156704SEC 801-72237IAPD
Latest filing Mar 3, 2014
First filing on the tape Mar 23, 2012 · 4 filings
RAUM
$10.9M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$10.9M as of Mar 3, 2014
Feb 5, 2013$10.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 3, 2014
Mar 23, 20120 then
Employees (5.A)2 as of Mar 3, 2014
Feb 5, 20132 then
Private funds: no history
RAUM +4.9% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2014; every figure names its basis
RAUM per advisor
$10.9MderivedRAUM 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
$10.9MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year
+4.9%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
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • L•••• W••••••• P•••• · Managing Member/ Chief Executive Officercontrol
        since 01/2011 · owns 25% to 50%
      • A•••••••• J••••• E••••• · Member
        since 01/2011 · owns less than 5%
      • L•••••• R•••••• L•••• · Member
        since 01/2011 · owns 10% to 25%
      • M•••••••• J••••••• B•••• · Chief Compliance Officer
        since 03/2011 · owns less than 5%
      • B••••• E•••••• B•••• · Managing Member
        since 12/2010 · owns 75% or more of S•••• L•••••
      • R•••••• J••••••• T••••• · T••••••
        since 05/2006 · owns 75% or more of J•••••• T• R•••••• T•••••• J•••••• T• R••••• T•••• D•••• 5•••••••
      • R•••••• S••••••• J••• · T••••••
        since 08/2007 · owns 75% or more of S•••••• J. R••••• T•••••• Uta D•••• 8/1/2007
      Entity owners
      • J•••••• T• R•••••• T•••••• J•••••• T• R••••• T•••• D•••• 5••••••• · Member
        direct · owns 10% to 25%
      • S•••• L••••• · Member
        direct · owns 10% to 25%
      • S•••••• J• R•••••• T•••••• U•• D•••• 8••••••• · Member
        direct · owns 10% to 25%
      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
      • Business name · M••••• C•••••• M••••••••• L•• to M•••••••• C•••••• M••••••••• L••
        Feb 5, 2013 to Mar 3, 2014
      • Discretionary RAUM · $10.4M to $10.9M
        Feb 5, 2013 to Mar 3, 2014
      • RAUM · $10.4M to $10.9M
        Feb 5, 2013 to Mar 3, 2014
      • Accounts · unset to 1.0
        Sep 28, 2012 to Feb 5, 2013
      • Advisory employees · unset to 2.0
        Sep 28, 2012 to Feb 5, 2013
      • Employees · unset to 2.0
        Sep 28, 2012 to Feb 5, 2013
      • State-registered IARs · 0 to 1
        Sep 28, 2012 to Feb 5, 2013
      • Discretionary RAUM · unset to 10400000.0
        Sep 28, 2012 to Feb 5, 2013
      • Non-discretionary RAUM · unset to 0.0
        Sep 28, 2012 to Feb 5, 2013
      • RAUM · unset to 10400000.0
        Sep 28, 2012 to Feb 5, 2013
      • HQ city · ALLENTOWN to CENTER VALLEY
        Mar 23, 2012 to Sep 28, 2012
      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