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Former SEC-registered adviser

S•• A•••• M••••••••• L••

Former SEC-registered adviserBerwyn, PennsylvaniaCRD 166371SEC 801-77906IAPD
Latest filing Mar 31, 2016
First filing on the tape Apr 1, 2013 · 6 filings
RAUM
$5.9M
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$5.9M as of Mar 31, 2016
Mar 24, 2015$7.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2016
Feb 11, 20142 then
Employees (5.A)5 as of Mar 31, 2016
Feb 11, 20144 then
Private funds: no history
RAUM -17% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2016; every figure names its basis
RAUM per advisor
$2.0MderivedRAUM 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
$5.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
1reported
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
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
    • L••••• J••••• J• · Managing Member, Trustee & Ccocontrol
      since 11/2009 · owns 75% or more
    • S••••••• B•••••••• W•••••• · Trusteecontrol
      since 11/2009 · owns 50% to 75%
    • L••••• J••••• J• · Trusteecontrol
      since 11/2009 · owns 50% to 75% of B•• I••••••••• T••••
    • S••••••• B•••••••• W•••••• · Trusteecontrol
      since 11/2009 · owns 50% to 75% of B•• I••••••••• T••••
    Entity owners
    • B•• I••••••••• T•••• · Member
      direct · owns 50% to 75%
    • B•• I••••••••• T•••• · Member
      indirect · owns 50% to 75% of B•• I••••••••• T••••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2 to 1
      Mar 24, 2015 to Mar 31, 2016
    • Discretionary RAUM · $7.1M to $5.9M
      Mar 24, 2015 to Mar 31, 2016
    • RAUM · $7.1M to $5.9M
      Mar 24, 2015 to Mar 31, 2016
    • Accounts · unset to 2.0
      Mar 24, 2014 to Mar 24, 2015
    • Advisory employees · 4 to 5
      Mar 24, 2014 to Mar 24, 2015
    • Employees · 4 to 5
      Mar 24, 2014 to Mar 24, 2015
    • State-registered IARs · 2 to 3
      Mar 24, 2014 to Mar 24, 2015
    • Discretionary RAUM · unset to 7100000.0
      Mar 24, 2014 to Mar 24, 2015
    • Non-discretionary RAUM · unset to 0.0
      Mar 24, 2014 to Mar 24, 2015
    • RAUM · unset to 7100000.0
      Mar 24, 2014 to Mar 24, 2015
    • Business name · C••••••• A•••• M••••••••• L•• to S•• A•••• M••••••••• L••
      Feb 11, 2014 to Mar 24, 2014
    • Legal name · C••••••• A•••• M••••••••• L•• to S•• A•••• M••••••••• L••
      Feb 11, 2014 to Mar 24, 2014
    • Accounts · 0.0 to unset
      Dec 20, 2013 to Feb 11, 2014
    • Discretionary RAUM · 0.0 to unset
      Dec 20, 2013 to Feb 11, 2014
    • Non-discretionary RAUM · 0.0 to unset
      Dec 20, 2013 to Feb 11, 2014
    • RAUM · 0.0 to unset
      Dec 20, 2013 to Feb 11, 2014
    Signals
    1 dated events
    • C••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Apr 1, 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