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S••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Century City, California

Former SEC-registered adviser, based in Century City, California, reporting $365M of regulatory assets.

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

As of 2015-09-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $365M
RAUM change, 1 year: +0.9%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2015-09-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 10 Sep 2015, RAUM $361M to $365M (+0.9%) on the Form ADV filed 10 Sep 2015, while advisors on the filing rose 3 to 4.

Every filed figure, and the identifiersCRD 160533 · SEC 801-73081 · 13 filingsShow

CRD 160533SEC 801-73081First filing on the tape Jan 20, 2012, latest Sep 10, 2015IAPD

RAUM

$365M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM +0.9% over the last fiscal year · the tape starts Jan 20, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$365M as of Feb 27, 2015

Jan 17, 2013$272M then

HNW client RAUM: no history

State-registered IARs (5.B.3)3 as of Feb 27, 2015

Jan 17, 20133 then

Employees (5.A)4 as of Feb 27, 2015

Jan 17, 20133 then

Private funds: no history

RAUM +0.9% over the last fiscal yearIARs 3 to 4

Practice profile

derived from the filing of Sep 10, 2015; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $91.2MderivedRAUM 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: $737,145derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%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: 4.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +0.9%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 assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

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: 495reported
Financial planning clients: 0reported
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

M••••• J•• S••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Feb 17, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
R••• G••••• S••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Feb 17, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
E•••• E••••• B•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Feb 17, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 left for S••••• C•••••• M••••••••• L••
Feb 29, 2016 · Century City, Ca · Firm absorbed

Teams out Teams in

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

B••••••• E••••• E••••• · Chief Compliance Officercontrol
since 02/2012 · owns less than 5%
S•••••• M•••••• J•• · Managing Membercontrol
since 02/2012 · 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

Advisory employees · 3 to 4
Feb 27, 2015 to Sep 3, 2015
State-registered IARs · 3 to 4
Feb 27, 2015 to Sep 3, 2015
Accounts · 486 to 495
Jan 22, 2014 to Feb 27, 2015
Employees · 3 to 4
Jan 22, 2014 to Feb 27, 2015
Discretionary RAUM · $351M to $354M
Jan 22, 2014 to Feb 27, 2015

Full history · 32 changes

Non-discretionary RAUM · $10.2M to $11.1M
Jan 22, 2014 to Feb 27, 2015
RAUM · $361M to $365M
Jan 22, 2014 to Feb 27, 2015
Accounts · 488 to 486
Jul 26, 2013 to Jan 22, 2014
Discretionary RAUM · $310M to $351M
Jul 26, 2013 to Jan 22, 2014
Non-discretionary RAUM · $15.0M to $10.2M
Jul 26, 2013 to Jan 22, 2014
RAUM · $325M to $361M
Jul 26, 2013 to Jan 22, 2014
Discretionary RAUM · $260M to $310M
Jan 17, 2013 to Mar 6, 2013
Non-discretionary RAUM · $12.0M to $15.0M
Jan 17, 2013 to Mar 6, 2013
RAUM · $272M to $325M
Jan 17, 2013 to Mar 6, 2013
Accounts · 361 to 488
Mar 29, 2012 to Jan 17, 2013
Advisory employees · unset to 3.0
Mar 29, 2012 to Jan 17, 2013
BD registered reps · unset to 0.0
Mar 29, 2012 to Jan 17, 2013
Employees · unset to 3.0
Mar 29, 2012 to Jan 17, 2013
Financial planning clients · 1-10 to 0
Mar 29, 2012 to Jan 17, 2013
State-registered IARs · unset to 3.0
Mar 29, 2012 to Jan 17, 2013
Discretionary RAUM · $134M to $260M
Mar 29, 2012 to Jan 17, 2013
Non-discretionary RAUM · $20.1M to $12.0M
Mar 29, 2012 to Jan 17, 2013
RAUM · $154M to $272M
Mar 29, 2012 to Jan 17, 2013
Accounts · 0 to 361
Feb 17, 2012 to Mar 29, 2012
Financial planning clients · 0 to 1-10
Feb 17, 2012 to Mar 29, 2012
Discretionary RAUM · $0 to $134M
Feb 17, 2012 to Mar 29, 2012
Non-discretionary RAUM · $0 to $20.1M
Feb 17, 2012 to Mar 29, 2012
RAUM · $0 to $154M
Feb 17, 2012 to Mar 29, 2012
HQ city · ENGLEWOOD to CENTURY CITY
Jan 20, 2012 to Feb 17, 2012
HQ state · NJ to CA
Jan 20, 2012 to Feb 17, 2012
Business name · B••••••• W••••• A••••••• to S••••• C•••••• M••••••••• L••
Feb 17, 2012 to Feb 17, 2012
Legal name · B••••••• W••••• A•••••••, LLC to S••••• C•••••• M••••••••• L••
Feb 17, 2012 to Feb 17, 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

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