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B••••• B•• C••••••

Former SEC-registered adviserFormer SEC adviser· Jackson, Wyoming

Former SEC-registered adviser, based in Jackson, Wyoming, reporting $310M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$310M
Form ADV
RAUM change, 1 year
-8.0%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 19 Jun 2015, RAUM $337M to $310M (-8.0%) on the Form ADV filed 19 Jun 2015.

Every filed figure, and the identifiersCRD 158045 · SEC 801-72599 · 6 filingsShow
CRD 158045SEC 801-72599First filing on the tape Apr 12, 2012, latest Jun 19, 2015IAPD
RAUM
$310M
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
Not computed
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape

RAUM -8.0% over the last fiscal year · the tape starts Apr 12, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$310M as of Jun 19, 2015
Apr 1, 2014$337M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 19, 2015
Apr 1, 20140 then
Employees (5.A)3 as of Jun 19, 2015
Apr 1, 20143 then
Private funds: no history
RAUM -8.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 19, 2015; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$28.2MderivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
-8.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• T••••••• F••••• · Chief Executive Officer/Chief Compliance Officercontrol
        since 05/2011 · 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 · 10 to 11
        Apr 1, 2014 to Jun 19, 2015
      • Advisory activities · 3 to 1
        Apr 1, 2014 to Jun 19, 2015
      • Discretionary RAUM · $34.5M to $0
        Apr 1, 2014 to Jun 19, 2015
      • Non-discretionary RAUM · $302M to $310M
        Apr 1, 2014 to Jun 19, 2015
      • RAUM · $337M to $310M
        Apr 1, 2014 to Jun 19, 2015
      Full history · 26 changes
      • Accounts · 11 to 10
        Oct 31, 2013 to Apr 1, 2014
      • Advisory employees · 3 to 2
        Oct 31, 2013 to Apr 1, 2014
      • Advisory activities · 1 to 3
        Oct 31, 2013 to Apr 1, 2014
      • Employees · 5 to 3
        Oct 31, 2013 to Apr 1, 2014
      • Discretionary RAUM · $365M to $34.5M
        Oct 31, 2013 to Apr 1, 2014
      • Non-discretionary RAUM · $0 to $302M
        Oct 31, 2013 to Apr 1, 2014
      • RAUM · $365M to $337M
        Oct 31, 2013 to Apr 1, 2014
      • HQ city · MELVILLE to JACKSON
        May 14, 2013 to Oct 31, 2013
      • HQ state · NY to WY
        May 14, 2013 to Oct 31, 2013
      • Succession · true to false
        May 14, 2013 to Oct 31, 2013
      • Employees · 7 to 5
        Apr 23, 2013 to May 14, 2013
      • Legal name · B••••• B••• L•• to B••••• B•• C••••••
        Apr 23, 2013 to May 14, 2013
      • Succession · false to true
        Apr 23, 2013 to May 14, 2013
      • Accounts · 4 to 11
        Apr 12, 2012 to Apr 23, 2013
      • Advisory employees · unset to 3.0
        Apr 12, 2012 to Apr 23, 2013
      • Business name · B••••• B••• L•• to B••••• B•• C••••••
        Apr 12, 2012 to Apr 23, 2013
      • Employees · unset to 7.0
        Apr 12, 2012 to Apr 23, 2013
      • HQ city · NEW YORK to MELVILLE
        Apr 12, 2012 to Apr 23, 2013
      • Legal name · S••••• JR, T•••••• F. to B••••• B••• L••
        Apr 12, 2012 to Apr 23, 2013
      • Discretionary RAUM · $200M to $365M
        Apr 12, 2012 to Apr 23, 2013
      • RAUM · $200M to $365M
        Apr 12, 2012 to Apr 23, 2013
      Signals
      1 dated events
      • ••• Locked
        May 14, 2013 · Succession (Item 4) · 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026