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Former SEC-registered adviser

T•••••• B••••••

Former SEC-registered adviserCRD 162201SEC 801-77029IAPD
Latest filing May 10, 2019
First filing on the tape Aug 7, 2012 · 11 filings
RAUM
$334M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$334M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$334M as of May 10, 2019
Apr 17, 2013$649M then
HNW client RAUM$334M as of May 10, 2019
May 17, 2018$444M then
State-registered IARs (5.B.3)0 as of May 10, 2019
Apr 17, 20130 then
Employees (5.A)1 as of May 10, 2019
Apr 17, 20131 then
Private funds: no history
RAUM -25% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 10, 2019; 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
$111MderivedRAUM 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
-25%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 individualsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$334M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      • T•••••• B•••••• · Spcontrol
        since 02/1956 · 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 · 6 to 3
        May 17, 2018 to May 10, 2019
      • Discretionary RAUM · $444M to $334M
        May 17, 2018 to May 10, 2019
      • HNW RAUM · $444M to $334M
        May 17, 2018 to May 10, 2019
      • RAUM · $444M to $334M
        May 17, 2018 to May 10, 2019
      • Accounts · 10 to 6
        Jun 9, 2017 to May 17, 2018
      • Other offices · unset to 0.0
        Jun 9, 2017 to May 17, 2018
      • Discretionary RAUM · $701M to $444M
        Jun 9, 2017 to May 17, 2018
      • HNW RAUM · unset to 443667513.0
        Jun 9, 2017 to May 17, 2018
      • RAUM · $701M to $444M
        Jun 9, 2017 to May 17, 2018
      • Accounts · 11 to 10
        Jun 3, 2016 to Jun 9, 2017
      • Discretionary RAUM · $760M to $701M
        Jun 3, 2016 to Jun 9, 2017
      • RAUM · $760M to $701M
        Jun 3, 2016 to Jun 9, 2017
      • Accounts · 9 to 11
        Jun 3, 2015 to Jun 3, 2016
      • Discretionary RAUM · $825M to $760M
        Jun 3, 2015 to Jun 3, 2016
      • RAUM · $825M to $760M
        Jun 3, 2015 to Jun 3, 2016
      • Accounts · 3 to 9
        Jun 10, 2014 to Jun 3, 2015
      • Discretionary RAUM · $693M to $825M
        Jun 10, 2014 to Jun 3, 2015
      • RAUM · $693M to $825M
        Jun 10, 2014 to Jun 3, 2015
      • Accounts · 13 to 3
        Apr 17, 2013 to Jun 10, 2014
      • Discretionary RAUM · $649M to $693M
        Apr 17, 2013 to Jun 10, 2014
      • RAUM · $649M to $693M
        Apr 17, 2013 to Jun 10, 2014
      • Accounts · 6 to 13
        Aug 16, 2012 to Apr 17, 2013
      • Advisory employees · unset to 1.0
        Aug 16, 2012 to Apr 17, 2013
      • BD registered reps · unset to 0.0
        Aug 16, 2012 to Apr 17, 2013
      • Employees · unset to 1.0
        Aug 16, 2012 to Apr 17, 2013
      • State-registered IARs · unset to 0.0
        Aug 16, 2012 to Apr 17, 2013
      • Discretionary RAUM · $550M to $649M
        Aug 16, 2012 to Apr 17, 2013
      • RAUM · $550M to $649M
        Aug 16, 2012 to Apr 17, 2013
      Signals
      2 dated events
      • T•••••• B•••••• reported RAUM $443.7M, down 37% from $700.8M (2017-06-09 to 2018-05-17)
        May 17, 2018 · RAUM change · derived
      • T•••••• B•••••• filed its initial SEC registration (Form ADV)
        Aug 7, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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