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S•••••••• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· Great Neck, New York

Former SEC-registered adviser, based in Great Neck, New York, reporting $276M of regulatory assets.

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

As of 2022-05-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $276M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +2.9%
Private clients: 76% of RAUM, $211M

Advisors Advisor movement Where the RAUM sits

As of 2022-05-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 24 Form ADV filings for this adviser, the latest 4.4 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 159065 · SEC 801-73117 · 24 filingsShow

CRD 159065SEC 801-73117First filing on the tape Jan 31, 2012, latest May 5, 2022IAPD

RAUM

$276M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

76%

$211M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$58.4M gross assets

History

24 filings and snapshots on the tape

RAUM$276M as of Mar 31, 2022

Mar 27, 2013$263M then

HNW client RAUM$153M as of Mar 31, 2022

Mar 28, 2018$150M then

State-registered IARs (5.B.3)4 as of Mar 31, 2022

Mar 27, 20130 then

Employees (5.A)10 as of Mar 31, 2022

Mar 27, 201317 then

Private funds3 as of Mar 31, 2022

Mar 27, 201310 then

RAUM +2.9% over the last fiscal year+1.8% a year over threeIARs 0 to 4

Practice profile

derived from the filing of May 5, 2022; every figure names its basis

RAUM per advisor: $69.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 74derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $626,888derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.5derivedItem 5.A over advisors
Advisors per office: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +2.9%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -2.6%derived
Compensation: percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, educational seminarsreportedItem 5.G
Custody: $58.4M, 3 clientsreportedItem 9.A
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)
compensates persons for client referrals (8.G.1)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$153M55%
Pooled investment vehicles$58.4M21%
Individuals$58.0M21%
Charitable organizations$4.4M1.6%
Pension and profit-sharing plans$2.0M0.7%
Corporations and businesses$296,1400.1%

Individual clients: 227reported
HNW clients: 67reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 440reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $58.4M for 3 clientsreported
Compensation: % of AUM, fixed, 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

Left, latest

D•••• H•••• to A••••••••• F•••••••• S•••••••• L••
May 6, 2022 · RIA to affiliated broker-dealer or bank

Joined, latest

none on the tape

Every departure Every arrival

Private funds

16 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•• • M•••• I••••• I•••••••• S••••••••• S•••••	Hedge Fund	$30.1M	63	Jan 31, 2012
S•• • A•••• E••••• A••••••••• S••••••••• S•••••	Hedge Fund	$17.2M	47	Jan 31, 2012
S•• • M•••• A••••••••• S••••••••• S•••••	Hedge Fund	$11.1M	36	Jan 31, 2012
S•• • A•••• V•••• I•••••••• S••••••••• S•••••no longer reported	Hedge Fund	$6.6M	24	Jan 31, 2012
G• A•••• S•••••••• I•••••••• L•••no longer reported	Hedge Fund	$5.3M	24	Jan 31, 2012
S•• • M•••• I••••••••• O••••••••• S••••••••• S•••••no longer reported	Hedge Fund	$4.8M	23	Jan 31, 2012
G• A•••• E••••••• M•••••• F••• L•••no longer reported	Hedge Fund	$4.8M	28	Jan 31, 2012
A•••• E••••• G•••• L•••no longer reported	Hedge Fund	$4.5M	16	Jan 31, 2012
S•• • A•••• B••••••• F••• S••••••••• S•••••no longer reported	Hedge Fund	$4.3M	19	Jan 31, 2012
S•• • G• A•••• I•••••••• S••••••••• S•••••no longer reported	Hedge Fund	$3.5M	21	Jan 31, 2012
S•• • M•••• U••• E••••••• S••••••••• S•••••no longer reported	Hedge Fund	$3.3M	17	Jan 31, 2012
S•• • M•••• S••••• I•••••••• S••••••••• S•••••no longer reported	Hedge Fund	$3.0M	12	Jan 31, 2012
S•• • A••• S••••••••• S•••••no longer reported	Hedge Fund	$2.9M	15	Mar 26, 2015
A•••• T••••••• T•••••• L••no longer reported	Hedge Fund	$1.7M	19	Jan 31, 2012
A•••• L•••••••• I•••••••• L•no longer reported	Hedge Fund	$1.4M	5	Jan 31, 2012
S•• • A•••• S••••• T•••••• S••••••••• S•••••no longer reported	Hedge Fund	$1.3M	6	Jan 31, 2012

Owners and control persons

Schedule A and B, latest filing

A••••• M•••••• L••••••• · President, Chief Executive Officer And Chief Compliance Officercontrol
since 01/2012 · owns 5% to 10%
A••••• M•••••• L••••••• · Majority Shareholdercontrol
since 11/1995 · owns 75% or more of A•••• A•••• M••••••••• C•••••••••

Entity owners

A•••• A•••• M••••••••• C••••••••• · Member
direct · 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 · 441 to 440
Apr 27, 2021 to Mar 31, 2022
HNW clients · 62 to 67
Apr 27, 2021 to Mar 31, 2022
Individual clients · 240 to 227
Apr 27, 2021 to Mar 31, 2022
Assets in custody · $56.3M to $58.4M
Apr 27, 2021 to Mar 31, 2022
State-registered IARs · 0 to 4
Apr 27, 2021 to Mar 31, 2022
Discretionary RAUM · $268M to $276M
Apr 27, 2021 to Mar 31, 2022
HNW RAUM · $143M to $153M
Apr 27, 2021 to Mar 31, 2022
Individual RAUM · $61.1M to $58.0M
Apr 27, 2021 to Mar 31, 2022
Pension RAUM · $2.7M to $2.0M
Apr 27, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $56.3M to $58.4M
Apr 27, 2021 to Mar 31, 2022
RAUM · $268M to $276M
Apr 27, 2021 to Mar 31, 2022
Accounts · 479 to 441
Jun 30, 2020 to Mar 30, 2021
Advisory activities · 5 to 6
Jun 30, 2020 to Mar 30, 2021
HNW clients · 63 to 62
Jun 30, 2020 to Mar 30, 2021
Individual clients · 264 to 240
Jun 30, 2020 to Mar 30, 2021
Assets in custody · $53.5M to $56.3M
Jun 30, 2020 to Mar 30, 2021
Employees · 11 to 10
Jun 30, 2020 to Mar 30, 2021
Financial planning clients · 0 to 1-10
Jun 30, 2020 to Mar 30, 2021
Discretionary RAUM · $283M to $268M
Jun 30, 2020 to Mar 30, 2021
HNW RAUM · $155M to $143M
Jun 30, 2020 to Mar 30, 2021
Individual RAUM · $67.0M to $61.1M
Jun 30, 2020 to Mar 30, 2021
Pension RAUM · $2.6M to $2.7M
Jun 30, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $53.5M to $56.3M
Jun 30, 2020 to Mar 30, 2021
RAUM · $283M to $268M
Jun 30, 2020 to Mar 30, 2021
Accounts · 486 to 479
Apr 29, 2019 to Mar 26, 2020
Advisory employees · 5 to 4
Apr 29, 2019 to Mar 26, 2020
Advisory activities · 4 to 5
Apr 29, 2019 to Mar 26, 2020
HNW clients · 53 to 63
Apr 29, 2019 to Mar 26, 2020
Individual clients · 267 to 264
Apr 29, 2019 to Mar 26, 2020
Pooled vehicle clients · 5 to 3
Apr 29, 2019 to Mar 26, 2020
Assets in custody · $53.9M to $53.5M
Apr 29, 2019 to Mar 26, 2020
Employees · 12 to 11
Apr 29, 2019 to Mar 26, 2020
Other offices · 1 to 0
Apr 29, 2019 to Mar 26, 2020
Private funds · 5 to 3
Apr 29, 2019 to Mar 26, 2020
Discretionary RAUM · $261M to $283M
Apr 29, 2019 to Mar 26, 2020
HNW RAUM · $130M to $155M
Apr 29, 2019 to Mar 26, 2020
Individual RAUM · $69.7M to $67.0M
Apr 29, 2019 to Mar 26, 2020
Pension RAUM · $2.4M to $2.6M
Apr 29, 2019 to Mar 26, 2020
Pooled vehicle RAUM · $53.9M to $53.5M
Apr 29, 2019 to Mar 26, 2020
RAUM · $261M to $283M
Apr 29, 2019 to Mar 26, 2020

Signals

2 dated events

••• Locked
May 6, 2022 · Advisor changed firm · fact
••• Locked
Jan 31, 2012 · 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

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