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C••••• F•••••••• S•••••••• L••

Former SEC-registered adviserFormer SEC adviser· Pittsburgh, Pennsylvania

Former SEC-registered adviser, based in Pittsburgh, Pennsylvania, reporting $197M of regulatory assets.

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

As of 2015-02-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $197M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +29%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2015-02-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +29% over the last fiscal year, to $197M.
2015-02-02
RAUM a year earlier $153MRAUM now $197M

Every filed figure, and the identifiersCRD 163835 · SEC 801-76613 · 7 filingsShow

CRD 163835SEC 801-76613First filing on the tape Apr 23, 2012, latest Feb 2, 2015IAPD

RAUM

$197M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM$197M as of Feb 2, 2015

Mar 2, 2013$197M then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Feb 2, 2015

Mar 2, 20132 then

Employees (5.A)2 as of Feb 2, 2015

Mar 2, 20132 then

Private funds: no history

RAUM +29% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Feb 2, 2015; every figure names its basis

RAUM per advisor: $98.3MderivedRAUM 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: $14.0MderivedRAUM 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: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +29%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, hourly, fixed feesreportedItem 5.E
Advisory activities: pension consultingreportedItem 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)
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: 14reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••• J•••• L• · Managing Membercontrol
since 04/2012 · owns 75% or more
M•••• M•••• C••••••••• · Chief Compliance Officer
since 04/2012 · owns 10% to 25%

Related persons

Schedule D 7.A

J••• L• C•••••
real estatey

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 9 to 14
Feb 26, 2014 to Feb 2, 2015
Non-discretionary RAUM · $153M to $197M
Feb 26, 2014 to Feb 2, 2015
RAUM · $153M to $197M
Feb 26, 2014 to Feb 2, 2015
Discretionary RAUM · $197M to $0
May 30, 2013 to Feb 26, 2014
Non-discretionary RAUM · $0 to $153M
May 30, 2013 to Feb 26, 2014
RAUM · $197M to $153M
May 30, 2013 to Feb 26, 2014
Advisory employees · unset to 2.0
Sep 11, 2012 to Mar 2, 2013
BD registered reps · unset to 2.0
Sep 11, 2012 to Mar 2, 2013
Employees · unset to 2.0
Sep 11, 2012 to Mar 2, 2013
State-registered IARs · unset to 2.0
Sep 11, 2012 to Mar 2, 2013
Discretionary RAUM · $188M to $197M
Sep 11, 2012 to Mar 2, 2013
RAUM · $188M to $197M
Sep 11, 2012 to Mar 2, 2013
Accounts · 0 to 9
May 9, 2012 to Sep 11, 2012
Discretionary RAUM · $0 to $188M
May 9, 2012 to Sep 11, 2012
RAUM · $0 to $188M
May 9, 2012 to Sep 11, 2012
Business name · C••••• F•••••••• S•••••••• I••• to C••••• F•••••••• S•••••••• L••
Apr 23, 2012 to May 9, 2012
Legal name · C••••• F•••••••• S•••••••• I••• to C••••• F•••••••• S•••••••• L••
Apr 23, 2012 to May 9, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026