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Former SEC-registered adviser

P•••••• A••••••• G•••• L••

Former SEC-registered adviserGarden City, New YorkCRD 166614SEC 801-79264IAPD
Latest filing Mar 18, 2024
First filing on the tape Jan 9, 2013 · 17 filings
RAUM
$19.4M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
98%
$19.1M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$19.4M as of Mar 18, 2024
Mar 27, 2015$35.4M then
HNW client RAUM$16.5M as of Mar 18, 2024
Feb 9, 2018$24.5M then
State-registered IARs (5.B.3)1 as of Mar 18, 2024
Mar 27, 20151 then
Employees (5.A)1 as of Mar 18, 2024
Mar 27, 20152 then
Private funds: no history
RAUM -54% over the last fiscal year-14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2024; every figure names its basis
RAUM per advisor
$19.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$973,497derivedHNW RAUM over HNW clients
Average account
$168,709derivedRAUM over accounts (5.F.2.f)
Discretionary
89%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-54%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-20%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$100,000, 10 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$16.5M85%
  • Individuals$2.5M13%
  • Corporations and businesses$333,6521.7%
Individual clients
26reported
HNW clients
17reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
115reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$100,000 for 10 clientsreported
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
      • P••••••• P••••• · Managing Principal/Ccocontrol
        since 12/2012 · 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 · 140 to 115
        Feb 17, 2023 to Mar 18, 2024
      • Corporate clients · 3.0 to unset
        Feb 17, 2023 to Mar 18, 2024
      • HNW clients · 29 to 17
        Feb 17, 2023 to Mar 18, 2024
      • Individual clients · 25 to 26
        Feb 17, 2023 to Mar 18, 2024
      • Assets in custody · unset to 100000.0
        Feb 17, 2023 to Mar 18, 2024
      • Custody of client assets · false to true
        Feb 17, 2023 to Mar 18, 2024
      • Discretionary RAUM · $30.2M to $17.3M
        Feb 17, 2023 to Mar 18, 2024
      • HNW RAUM · $38.7M to $16.5M
        Feb 17, 2023 to Mar 18, 2024
      • Individual RAUM · $3.3M to $2.5M
        Feb 17, 2023 to Mar 18, 2024
      • Non-discretionary RAUM · $12.3M to $2.1M
        Feb 17, 2023 to Mar 18, 2024
      • RAUM · $42.6M to $19.4M
        Feb 17, 2023 to Mar 18, 2024
      • Accounts · 152 to 140
        Jan 24, 2022 to Feb 17, 2023
      • Corporate clients · unset to 3.0
        Jan 24, 2022 to Feb 17, 2023
      • HNW clients · 24 to 29
        Jan 24, 2022 to Feb 17, 2023
      • Individual clients · 30 to 25
        Jan 24, 2022 to Feb 17, 2023
      • Assets in custody · 15000000.0 to unset
        Jan 24, 2022 to Feb 17, 2023
      • Custody of client assets · true to false
        Jan 24, 2022 to Feb 17, 2023
      • Discretionary RAUM · $33.2M to $30.2M
        Jan 24, 2022 to Feb 17, 2023
      • HNW RAUM · $33.2M to $38.7M
        Jan 24, 2022 to Feb 17, 2023
      • Individual RAUM · $2.7M to $3.3M
        Jan 24, 2022 to Feb 17, 2023
      • Non-discretionary RAUM · $2.7M to $12.3M
        Jan 24, 2022 to Feb 17, 2023
      • RAUM · $36.0M to $42.6M
        Jan 24, 2022 to Feb 17, 2023
      • Accounts · 135 to 152
        Feb 5, 2021 to Jan 24, 2022
      • HNW clients · 26 to 24
        Feb 5, 2021 to Jan 24, 2022
      • Individual clients · 25 to 30
        Feb 5, 2021 to Jan 24, 2022
      • Assets in custody · $10.0M to $15.0M
        Feb 5, 2021 to Jan 24, 2022
      • Employees · 2 to 1
        Feb 5, 2021 to Jan 24, 2022
      • Discretionary RAUM · $26.2M to $33.2M
        Feb 5, 2021 to Jan 24, 2022
      • HNW RAUM · $26.5M to $33.2M
        Feb 5, 2021 to Jan 24, 2022
      • Individual RAUM · $3.6M to $2.7M
        Feb 5, 2021 to Jan 24, 2022
      • Non-discretionary RAUM · $3.9M to $2.7M
        Feb 5, 2021 to Jan 24, 2022
      • RAUM · $30.1M to $36.0M
        Feb 5, 2021 to Jan 24, 2022
      • Related insurance company · true to false
        Feb 5, 2021 to Jan 24, 2022
      • Accounts · 123 to 135
        May 29, 2020 to Feb 5, 2021
      • Individual clients · 21 to 25
        May 29, 2020 to Feb 5, 2021
      • Assets in custody · $2.0M to $10.0M
        May 29, 2020 to Feb 5, 2021
      • Discretionary RAUM · $27.4M to $26.2M
        May 29, 2020 to Feb 5, 2021
      • HNW RAUM · $27.9M to $26.5M
        May 29, 2020 to Feb 5, 2021
      • Individual RAUM · $2.2M to $3.6M
        May 29, 2020 to Feb 5, 2021
      • Non-discretionary RAUM · $2.7M to $3.9M
        May 29, 2020 to Feb 5, 2021
      Signals
      1 dated events
      • P•••••• A••••••• G•••• L•• filed its initial SEC registration (Form ADV)
        Jan 9, 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