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Former SEC-registered adviser

S••••• F•••• M••••••••• L••

Former SEC-registered adviserFranklin, TennesseeCRD 160565SEC 801-73070IAPD
Latest filing Feb 12, 2016
First filing on the tape Jan 19, 2012 · 7 filings
RAUM
$2.6M
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
9
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.6M as of Apr 9, 2015
Apr 3, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 9, 2015
Apr 3, 20130 then
Employees (5.A)9 as of Apr 9, 2015
Apr 3, 20138 then
Private funds: no history
RAUM +185% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 12, 2016; every figure names its basis
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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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 offices incl. principal (1.F.5)
RAUM growth, one year
+185%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 investment companiesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
n/areported
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
      • S•••••••• R•••••• J••••••• · Managing Director, President, Chief Investment Officercontrol
        since 12/2011 · owns 75% or more
      • J••••• D••••• D•••• · Chief Compliance Officer
        since 12/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Aug 26, 2014 to Apr 9, 2015
      • Discretionary RAUM · $1.6M to $2.6M
        Aug 26, 2014 to Apr 9, 2015
      • RAUM · $1.6M to $2.6M
        Aug 26, 2014 to Apr 9, 2015
      • BD registered reps · 6 to 5
        Apr 4, 2014 to Aug 26, 2014
      • Employees · 10 to 9
        Apr 4, 2014 to Aug 26, 2014
      • Discretionary RAUM · $919,302 to $1.6M
        Apr 4, 2014 to Aug 26, 2014
      • RAUM · $919,302 to $1.6M
        Apr 4, 2014 to Aug 26, 2014
      • Discretionary RAUM · $475,493 to $919,302
        Oct 3, 2013 to Apr 4, 2014
      • RAUM · $475,493 to $919,302
        Oct 3, 2013 to Apr 4, 2014
      • Accounts · 0 to 1
        Apr 3, 2013 to Oct 3, 2013
      • Advisory employees · 5 to 7
        Apr 3, 2013 to Oct 3, 2013
      • BD registered reps · 5 to 6
        Apr 3, 2013 to Oct 3, 2013
      • Employees · 8 to 10
        Apr 3, 2013 to Oct 3, 2013
      • Discretionary RAUM · $0 to $475,493
        Apr 3, 2013 to Oct 3, 2013
      • RAUM · $0 to $475,493
        Apr 3, 2013 to Oct 3, 2013
      • Advisory employees · unset to 5.0
        Jan 19, 2012 to Apr 3, 2013
      • BD registered reps · unset to 5.0
        Jan 19, 2012 to Apr 3, 2013
      • Employees · unset to 8.0
        Jan 19, 2012 to Apr 3, 2013
      • State-registered IARs · unset to 0.0
        Jan 19, 2012 to Apr 3, 2013
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026