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Former SEC-registered adviser

M••••••• F•••••••• S••••••••

Former SEC-registered adviserCRD 158032SEC 801-79201IAPD
Legal name M••••••• F•••••••• S••••••••• L••
Latest filing Mar 7, 2019
First filing on the tape Apr 19, 2012 · 13 filings
RAUM
$4.3M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$4.3M as of Mar 7, 2019
Feb 5, 2015$10.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 7, 2019
Apr 19, 20120 then
Employees (5.A)3 as of Mar 7, 2019
Feb 5, 20153 then
Private funds: no history
RAUM -37% over the last fiscal year-29% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 7, 2019; 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
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-37%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 individualsreportedItem 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
  • Corporations and businesses$4.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
1-10reported
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
      • A•••••• J•••••••• S•••• · Member/Chief Compliance Officercontrol
        since 05/2011 · owns 25% to 50%
      • B•••••• S••••••• R••••••• · Presidentcontrol
        since 05/2011 · owns 25% to 50%
      • M•••••• A••••• R••• · Trustee
        since 03/2014 · owns 50% to 75% of S••••• F• M••••• • A•••• R• M••••• L••••• T••••
      • M•••••• S•••••• F•••••• · Trustee
        since 03/2014 · owns 50% to 75% of S••••• F• M••••• • A•••• R• M••••• L••••• T••••
      Entity owners
      • S••••• F• M••••• • A•••• R• M••••• L••••• T•••• · Member
        direct · owns less than 5%
      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
      • Discretionary RAUM · $6.8M to $4.3M
        Mar 9, 2018 to Mar 7, 2019
      • RAUM · $6.8M to $4.3M
        Mar 9, 2018 to Mar 7, 2019
      • Employees · 5 to 3
        Mar 21, 2017 to Mar 9, 2018
      • Other offices · unset to 0.0
        Mar 21, 2017 to Mar 9, 2018
      • Discretionary RAUM · $6.0M to $6.8M
        Mar 21, 2017 to Mar 9, 2018
      • RAUM · $6.0M to $6.8M
        Mar 21, 2017 to Mar 9, 2018
      • Accounts · 53 to 2
        Dec 7, 2016 to Mar 21, 2017
      • Advisory employees · 2 to 1
        Dec 7, 2016 to Mar 21, 2017
      • Employees · 3 to 5
        Dec 7, 2016 to Mar 21, 2017
      • Financial planning clients · 0 to 1-10
        Dec 7, 2016 to Mar 21, 2017
      • Discretionary RAUM · $0 to $6.0M
        Dec 7, 2016 to Mar 21, 2017
      • Non-discretionary RAUM · $12.0M to $0
        Dec 7, 2016 to Mar 21, 2017
      • RAUM · $12.0M to $6.0M
        Dec 7, 2016 to Mar 21, 2017
      • State-registered IARs · 2 to 1
        Aug 6, 2015 to Mar 21, 2016
      • Non-discretionary RAUM · $9.5M to $12.0M
        Aug 6, 2015 to Mar 21, 2016
      • RAUM · $9.5M to $12.0M
        Aug 6, 2015 to Mar 21, 2016
      • Accounts · 20 to 53
        Feb 5, 2015 to Aug 6, 2015
      • Non-discretionary RAUM · $10.0M to $9.5M
        Feb 5, 2015 to Aug 6, 2015
      • RAUM · $10.0M to $9.5M
        Feb 5, 2015 to Aug 6, 2015
      • Accounts · 0 to 20
        Mar 5, 2014 to Feb 5, 2015
      • Non-discretionary RAUM · $0 to $10.0M
        Mar 5, 2014 to Feb 5, 2015
      • RAUM · $0 to $10.0M
        Mar 5, 2014 to Feb 5, 2015
      • Accounts · unset to 0.0
        Sep 17, 2012 to Feb 6, 2014
      • Advisory employees · unset to 2.0
        Sep 17, 2012 to Feb 6, 2014
      • Business name · D••••••• A•••••••• L•• to M••••••• F•••••••• S••••••••
        Sep 17, 2012 to Feb 6, 2014
      • Employees · unset to 3.0
        Sep 17, 2012 to Feb 6, 2014
      • HQ city · CHARLOTTESVILLE to unset
        Sep 17, 2012 to Feb 6, 2014
      • HQ state · VA to unset
        Sep 17, 2012 to Feb 6, 2014
      • State-registered IARs · 0 to 2
        Sep 17, 2012 to Feb 6, 2014
      • Legal name · D••••••• A•••••••• L•• to M••••••• F•••••••• S••••••••• L••
        Sep 17, 2012 to Feb 6, 2014
      • Discretionary RAUM · unset to 0.0
        Sep 17, 2012 to Feb 6, 2014
      • Non-discretionary RAUM · unset to 0.0
        Sep 17, 2012 to Feb 6, 2014
      • RAUM · unset to 0.0
        Sep 17, 2012 to Feb 6, 2014
      Signals
      1 dated events
      • ••• Locked
        Feb 6, 2014 · 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