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Former SEC-registered adviser

M••• • P••••••• U••• L••

Former SEC-registered adviserNew York, New YorkCRD 164766SEC 801-77804IAPD
Latest filing Oct 22, 2024
First filing on the tape Mar 19, 2013 · 18 filings
SEC status approved since Mar 28, 2013
RAUM
$31.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$31.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$31.7M as of Mar 29, 2024
Mar 12, 2014$42.6M then
HNW client RAUM$31.7M as of Mar 29, 2024
Mar 27, 2018$32.9M then
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 12, 20140 then
Employees (5.A)2 as of Mar 29, 2024
Mar 12, 20142 then
Private funds: no history
RAUM -2.9% over the last fiscal year-1.0% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Oct 22, 2024; 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
$1.7MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-2.9%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 assets, hourly, fixed feesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$31.7M100%
Individual clients
n/areported
HNW clients
19reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
19reported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• G••••••• · President, Member, And Managing Partnercontrol
        since 12/2011 · owns 75% or more
      • P••••••• S••••• · Chief Compliance Officer
        since 06/2018 · owns less than 5%
      • Z•••••• J•••••• M•••••• · Member
        since 04/2018 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • M•• P••••••• M•••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 19
        Mar 30, 2023 to Mar 29, 2024
      • HNW clients · 18 to 19
        Mar 30, 2023 to Mar 29, 2024
      • Other offices · 0 to 1
        Mar 30, 2023 to Mar 29, 2024
      • Discretionary RAUM · $32.6M to $31.7M
        Mar 30, 2023 to Mar 29, 2024
      • HNW RAUM · $32.6M to $31.7M
        Mar 30, 2023 to Mar 29, 2024
      • RAUM · $32.6M to $31.7M
        Mar 30, 2023 to Mar 29, 2024
      • Accounts · 19 to 18
        Mar 31, 2022 to Mar 30, 2023
      • HNW clients · 19 to 18
        Mar 31, 2022 to Mar 30, 2023
      • Discretionary RAUM · $31.7M to $32.6M
        Mar 31, 2022 to Mar 30, 2023
      • HNW RAUM · $31.7M to $32.6M
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $31.7M to $32.6M
        Mar 31, 2022 to Mar 30, 2023
      • Accounts · 18 to 19
        Mar 31, 2021 to Mar 31, 2022
      • HNW clients · 18 to 19
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $32.6M to $31.7M
        Mar 31, 2021 to Mar 31, 2022
      • HNW RAUM · $32.6M to $31.7M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $32.6M to $31.7M
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 20 to 18
        Jun 30, 2020 to Mar 31, 2021
      • HNW clients · 20 to 18
        Jun 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $35.0M to $32.6M
        Jun 30, 2020 to Mar 31, 2021
      • HNW RAUM · $35.0M to $32.6M
        Jun 30, 2020 to Mar 31, 2021
      • RAUM · $35.0M to $32.6M
        Jun 30, 2020 to Mar 31, 2021
      • Accounts · 18 to 20
        Mar 29, 2019 to Mar 30, 2020
      • HNW clients · 18 to 20
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $33.7M to $35.0M
        Mar 29, 2019 to Mar 30, 2020
      • HNW RAUM · $33.7M to $35.0M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $33.7M to $35.0M
        Mar 29, 2019 to Mar 30, 2020
      • Related bank · true to false
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 13 to 18
        Mar 27, 2018 to Mar 29, 2019
      • Advisory employees · 2 to 1
        Mar 27, 2018 to Mar 29, 2019
      • HNW clients · 13 to 18
        Mar 27, 2018 to Mar 29, 2019
      • Other offices · 1 to 0
        Mar 27, 2018 to Mar 29, 2019
      • Discretionary RAUM · $32.9M to $33.7M
        Mar 27, 2018 to Mar 29, 2019
      • HNW RAUM · $32.9M to $33.7M
        Mar 27, 2018 to Mar 29, 2019
      • RAUM · $32.9M to $33.7M
        Mar 27, 2018 to Mar 29, 2019
      • Accounts · 20 to 13
        Feb 14, 2017 to Mar 27, 2018
      • HNW clients · unset to 13.0
        Feb 14, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Feb 14, 2017 to Mar 27, 2018
      • Discretionary RAUM · $37.1M to $32.9M
        Feb 14, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 32940934.0
        Feb 14, 2017 to Mar 27, 2018
      • RAUM · $37.1M to $32.9M
        Feb 14, 2017 to Mar 27, 2018
      Signals
      3 dated events
      • M••• • P••••••• U••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $31.7M)
        May 2, 2025 · Left the SEC roster · derived
      • Gotsis Lia Paschal (Chief Executive Officer, Chief Compliance Officer, Member, And Managing Partner) no longer on Schedule A of M••• • P••••••• U••• L•• (listed 2018-03-27, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • M••• • P••••••• U••• L•• filed its initial SEC registration (Form ADV)
        Mar 19, 2013 · 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