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Former SEC-registered adviser

E•••• A•••• A••••••• I•••

Former SEC-registered adviserIvoryton, ConnecticutCRD 164076SEC 801-77196websiteIAPD
Latest filing May 6, 2015
First filing on the tape Sep 25, 2012 · 6 filings
RAUM
$7.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$3.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$7.0M gross assets
History
6 filings and snapshots on the tape
RAUM$7.0M as of Mar 30, 2015
Apr 1, 2013$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2015
Apr 1, 20131 then
Employees (5.A)2 as of Mar 30, 2015
Apr 1, 20132 then
Private funds1 as of Mar 30, 2015
Mar 31, 20141 then
RAUM -93% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 6, 2015; every figure names its basis
RAUM per advisor
$3.5MderivedRAUM 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
$7.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-93%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 fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••••• C••••••••• S••••Chartered Financial AnalystI•••••••, CtOct 9, 201214 y0
C••••••••• P•••••••Chartered Financial AnalystI•••••••, CtJun 9, 202325 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• I••••••• O••••••••• F••• ••••••• L••••••Hedge Fund$7.0M1Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• B••••••• B•••• · Presidentcontrol
        since 12/2011 · owns less than 5%
      • S••••• D•••••• C••••••••• · Chairman Of The Board/Chief Compliance Officercontrol
        since 11/2011 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      I•••••••, Ct · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $100M to $7.0M
        Mar 31, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $4.5M to $0
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $105M to $7.0M
        Mar 31, 2014 to Mar 30, 2015
      • Advisory activities · 2 to 3
        Apr 1, 2013 to Mar 31, 2014
      • Private funds · unset to 1
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $105M to $100M
        Apr 1, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $0 to $4.5M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $105M to $105M
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 1 to 2
        Feb 6, 2013 to Apr 1, 2013
      • Employees · 1 to 2
        Feb 6, 2013 to Apr 1, 2013
      • State-registered IARs · 0 to 1
        Feb 6, 2013 to Apr 1, 2013
      • Accounts · 0 to 2
        Sep 25, 2012 to Feb 6, 2013
      • Advisory employees · unset to 1.0
        Sep 25, 2012 to Feb 6, 2013
      • BD registered reps · unset to 0.0
        Sep 25, 2012 to Feb 6, 2013
      • Employees · unset to 1.0
        Sep 25, 2012 to Feb 6, 2013
      • State-registered IARs · unset to 0.0
        Sep 25, 2012 to Feb 6, 2013
      • Discretionary RAUM · $0 to $105M
        Sep 25, 2012 to Feb 6, 2013
      • RAUM · $0 to $105M
        Sep 25, 2012 to Feb 6, 2013
      Signals
      1 dated events
      • E•••• A•••• A••••••• I••• filed its initial SEC registration (Form ADV)
        Sep 25, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      E••••ASSETADVISORS.COMreportedpublic record, Form ADV, Sep 21, 2026
      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
      $3.5Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026