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O•••••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds

Former SEC-registered adviser, reporting $52.0M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$52.0M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
-48%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 158764 · SEC 801-72747 · 9 filingsShow
CRD 158764SEC 801-72747First filing on the tape Feb 2, 2012, latest Apr 2, 2013IAPD
RAUM
$52.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$52.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$52.0M gross assets
History
9 filings and snapshots on the tape
RAUM$52.0M as of Jan 17, 2013
Mar 26, 2012$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 17, 2013
Mar 26, 20120 then
Employees (5.A): 1
Private funds1 as of Jan 17, 2013
Mar 26, 20121 then
RAUM -48% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Apr 2, 2013; every figure names its basis
RAUM per advisor
$52.0MderivedRAUM 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
$26.0MderivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-48%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••• E• O••••••••Miami, FlDec 20, 201123 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    8•••••••••Other Private Fund$52.0M10Feb 2, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • O••••••••• C•••••• E• · Chief Compliance Officercontrol
      since 03/2011 · 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 · 1 to 2
      Mar 26, 2012 to Jan 17, 2013
    • Advisory employees · unset to 1.0
      Mar 26, 2012 to Jan 17, 2013
    • Employees · unset to 1.0
      Mar 26, 2012 to Jan 17, 2013
    • State-registered IARs · 0 to 1
      Mar 26, 2012 to Jan 17, 2013
    • Non-discretionary RAUM · $100M to $52.0M
      Mar 26, 2012 to Jan 17, 2013
    • RAUM · $100M to $52.0M
      Mar 26, 2012 to Jan 17, 2013
    • Accounts · 2 to 1
      Feb 2, 2012 to Mar 26, 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
    $52.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026