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Former SEC-registered adviser

R••••••• A•••• M••••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 157378SEC 801-78053IAPD
Latest filing Mar 9, 2017
First filing on the tape Dec 13, 2011 · 9 filings
RAUM
$13.0M
reported, Item 5.F
Discretionary
0.0%
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$13.0M as of Mar 9, 2017
Feb 12, 2014$9.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 9, 2017
Feb 12, 20143 then
Employees (5.A)3 as of Mar 9, 2017
Feb 12, 20143 then
Private funds: no history
RAUM -66% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 9, 2017; every figure names its basis
RAUM per advisor
$4.3MderivedRAUM 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
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-66%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for investment companies, otherreportedItem 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
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
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• C••••••••• J••••• · Managing Directorcontrol
        since 01/2013 · owns less than 5%
      • V••••••• J•••••• A••••• · Vice President And Chief Compliance Officercontrol
        since 12/2015 · owns less than 5%
      • A•••••• D•••• L••• · Managercontrol
        since 03/2012 · owns F of T• C••••••• L••
      • J••••••• H••••• P• · Chief Operating Officer Of T• C••••••• L••control
        since 12/2015 · owns F of T• C••••••• L••
      • S••••• T•••• K• · Chief Executive Officer And Managercontrol
        since 06/2009 · owns 25% to 50% of T• C••••••• L••
      • V••••••• J•••••• A••••• · Manager And Co-Director Of Sales And Marketingcontrol
        since 01/2010 · owns 25% to 50% of T• C••••••• L••
      Entity owners
      • T• C••••••• L•• · Owner, Manager
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 27 to 6
        Feb 19, 2016 to Mar 9, 2017
      • Non-discretionary RAUM · $38.1M to $13.0M
        Feb 19, 2016 to Mar 9, 2017
      • RAUM · $38.1M to $13.0M
        Feb 19, 2016 to Mar 9, 2017
      • Accounts · 23 to 27
        Mar 30, 2015 to Feb 19, 2016
      • Non-discretionary RAUM · $26.0M to $38.1M
        Mar 30, 2015 to Feb 19, 2016
      • RAUM · $26.0M to $38.1M
        Mar 30, 2015 to Feb 19, 2016
      • Accounts · 3 to 23
        Feb 12, 2014 to Feb 19, 2015
      • Discretionary RAUM · $9.5M to $0
        Feb 12, 2014 to Feb 19, 2015
      • Non-discretionary RAUM · $0 to $26.0M
        Feb 12, 2014 to Feb 19, 2015
      • RAUM · $9.5M to $26.0M
        Feb 12, 2014 to Feb 19, 2015
      • Accounts · 0 to 3
        Oct 31, 2013 to Feb 12, 2014
      • Discretionary RAUM · $0 to $9.5M
        Oct 31, 2013 to Feb 12, 2014
      • RAUM · $0 to $9.5M
        Oct 31, 2013 to Feb 12, 2014
      • Advisory activities · 1 to 2
        May 7, 2013 to Oct 31, 2013
      • Accounts · unset to 0.0
        Mar 30, 2012 to May 7, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to May 7, 2013
      • BD registered reps · unset to 3.0
        Mar 30, 2012 to May 7, 2013
      • Employees · unset to 3.0
        Mar 30, 2012 to May 7, 2013
      • State-registered IARs · unset to 3.0
        Mar 30, 2012 to May 7, 2013
      • Discretionary RAUM · unset to 0.0
        Mar 30, 2012 to May 7, 2013
      • Non-discretionary RAUM · unset to 0.0
        Mar 30, 2012 to May 7, 2013
      • RAUM · unset to 0.0
        Mar 30, 2012 to May 7, 2013
      • Accounts · 0.0 to unset
        Dec 13, 2011 to Mar 30, 2012
      • Discretionary RAUM · 0.0 to unset
        Dec 13, 2011 to Mar 30, 2012
      • Non-discretionary RAUM · 0.0 to unset
        Dec 13, 2011 to Mar 30, 2012
      • RAUM · 0.0 to unset
        Dec 13, 2011 to Mar 30, 2012
      Signals
      1 dated events
      • R••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        May 7, 2013 · First SEC registration · 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
      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