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Former SEC-registered adviser

F•••••••• T•••••

Former SEC-registered adviserCRD 164616SEC 801-76813IAPD
Legal name F•••••••• T•••••• I•••
Latest filing Sep 24, 2013
First filing on the tape Jun 13, 2012 · 4 filings
RAUM
$527,000
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$527,000 as of Sep 24, 2013
Jun 13, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 24, 2013
Mar 22, 20130 then
Employees (5.A)1 as of Sep 24, 2013
Mar 22, 20131 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 24, 2013; 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
$37,643derivedRAUM 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
unknownderivedbetween 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
financial planning, portfolio management for individuals, publicationsreportedItem 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
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
0reported
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•••••• B•••••••• R••••• · President And Ccocontrol
        since 05/2012 · 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
      • Accounts · 12 to 14
        Mar 22, 2013 to Sep 24, 2013
      • Financial planning clients · 1-10 to 0
        Mar 22, 2013 to Sep 24, 2013
      • Discretionary RAUM · $506,000 to $527,000
        Mar 22, 2013 to Sep 24, 2013
      • RAUM · $506,000 to $527,000
        Mar 22, 2013 to Sep 24, 2013
      • Accounts · 0 to 12
        Sep 28, 2012 to Mar 22, 2013
      • Advisory employees · unset to 1.0
        Sep 28, 2012 to Mar 22, 2013
      • BD registered reps · unset to 0.0
        Sep 28, 2012 to Mar 22, 2013
      • Employees · unset to 1.0
        Sep 28, 2012 to Mar 22, 2013
      • Financial planning clients · 0 to 1-10
        Sep 28, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 0.0
        Sep 28, 2012 to Mar 22, 2013
      • Discretionary RAUM · $0 to $506,000
        Sep 28, 2012 to Mar 22, 2013
      • RAUM · $0 to $506,000
        Sep 28, 2012 to Mar 22, 2013
      Signals
      1 dated events
      • F•••••••• T••••• filed its initial SEC registration (Form ADV)
        Jun 13, 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.
      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