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Former SEC-registered adviser

R••• A•••• M••••••••• L••

Former SEC-registered adviserMaplewood, New JerseyCRD 157823SEC 801-106530IAPD
Latest filing Mar 30, 2021
First filing on the tape Aug 5, 2015 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 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$189M as of Feb 28, 2020
Mar 28, 2016$106M then
HNW client RAUM$150M as of Feb 28, 2020
Mar 17, 2018$116M then
State-registered IARs (5.B.3)1 as of Mar 30, 2021
Mar 28, 20163 then
Employees (5.A)1 as of Mar 30, 2021
Mar 28, 20165 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 5 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-80%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• C•••• S••••• · Managing Member/Chief Compliance Officercontrol
        since 05/2011 · owns 25% to 50%
      Entity owners
      • R•••••••• R••• B•••• B••••• • C•• P••• · Direct Owner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • R•••••••• R••• B•••• B••••• • C•• P•••
        insurancey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 260.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Advisory employees · 5 to 1
        Dec 23, 2020 to Mar 30, 2021
      • Charity clients · 4.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Corporate clients · 11.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • HNW clients · 110.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Individual clients · 133.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Pension plan clients · 2.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Assets in custody · 26962516.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Custody of client assets · true to false
        Dec 23, 2020 to Mar 30, 2021
      • Employees · 6 to 1
        Dec 23, 2020 to Mar 30, 2021
      • Financial planning clients · 251-500 to 0
        Dec 23, 2020 to Mar 30, 2021
      • State-registered IARs · 5 to 1
        Dec 23, 2020 to Mar 30, 2021
      • Other offices · 1 to 0
        Dec 23, 2020 to Mar 30, 2021
      • Discretionary RAUM · 188630780.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • HNW RAUM · 149821684.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Individual RAUM · 18528293.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · 0.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Pension RAUM · 1264545.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • RAUM · 188630780.0 to unset
        Dec 23, 2020 to Mar 30, 2021
      • Accounts · 251 to 260
        Mar 13, 2019 to Feb 28, 2020
      • Advisory employees · 3 to 5
        Mar 13, 2019 to Feb 28, 2020
      • Charity clients · 3 to 4
        Mar 13, 2019 to Feb 28, 2020
      • HNW clients · 103 to 110
        Mar 13, 2019 to Feb 28, 2020
      • Individual clients · 132 to 133
        Mar 13, 2019 to Feb 28, 2020
      • Assets in custody · $27.7M to $27.0M
        Mar 13, 2019 to Feb 28, 2020
      • State-registered IARs · 3 to 5
        Mar 13, 2019 to Feb 28, 2020
      • Discretionary RAUM · $170M to $189M
        Mar 13, 2019 to Feb 28, 2020
      • HNW RAUM · $132M to $150M
        Mar 13, 2019 to Feb 28, 2020
      • Individual RAUM · $18.8M to $18.5M
        Mar 13, 2019 to Feb 28, 2020
      • Pension RAUM · $1.1M to $1.3M
        Mar 13, 2019 to Feb 28, 2020
      • RAUM · $170M to $189M
        Mar 13, 2019 to Feb 28, 2020
      • Accounts · 227 to 251
        Mar 17, 2018 to Mar 13, 2019
      • HNW clients · 97 to 103
        Mar 17, 2018 to Mar 13, 2019
      • Individual clients · 114 to 132
        Mar 17, 2018 to Mar 13, 2019
      • Assets in custody · $27.7M to $27.7M
        Mar 17, 2018 to Mar 13, 2019
      • Employees · 5 to 6
        Mar 17, 2018 to Mar 13, 2019
      • Financial planning clients · 101-250 to 251-500
        Mar 17, 2018 to Mar 13, 2019
      • Other offices · 2 to 1
        Mar 17, 2018 to Mar 13, 2019
      • Discretionary RAUM · $151M to $170M
        Mar 17, 2018 to Mar 13, 2019
      • HNW RAUM · $116M to $132M
        Mar 17, 2018 to Mar 13, 2019
      Signals
      1 dated events
      • R••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 5, 2015 · 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