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A•••• P••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Buffalo, New York

Former SEC-registered adviser, based in Buffalo, New York, reporting $9.0M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$9.0M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-82%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 166779 · SEC 801-77638 · 11 filingsShow
CRD 166779SEC 801-77638First filing on the tape Feb 6, 2013, latest Mar 27, 2017IAPD
RAUM
$9.0M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$9.0M as of Mar 27, 2017
Mar 25, 2014$35.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2017
Mar 25, 20142 then
Employees (5.A)2 as of Mar 27, 2017
Mar 25, 20142 then
Private funds: no history
RAUM -82% over the last fiscal year-37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2017; 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
$288,871derivedRAUM 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
-82%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, otherreportedItem 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
31reported
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
      • B•••• J•••••• B••••• · President And Chief Compliance Officercontrol
        since 03/2014 · 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 · 56 to 31
        May 11, 2016 to Mar 27, 2017
      • BD registered reps · 0 to 1
        May 11, 2016 to Mar 27, 2017
      • Employees · 3 to 2
        May 11, 2016 to Mar 27, 2017
      • Discretionary RAUM · $19.5M to $9.0M
        May 11, 2016 to Mar 27, 2017
      • Non-discretionary RAUM · $31.5M to $0
        May 11, 2016 to Mar 27, 2017
      • RAUM · $51.0M to $9.0M
        May 11, 2016 to Mar 27, 2017
      • Accounts · 48 to 56
        Mar 27, 2015 to Mar 30, 2016
      • Employees · 1 to 3
        Mar 27, 2015 to Mar 30, 2016
      • Financial planning clients · unset to 0
        Mar 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $22.6M to $19.5M
        Mar 27, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $9.9M to $31.5M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $32.5M to $51.0M
        Mar 27, 2015 to Mar 30, 2016
      • Accounts · 53 to 48
        May 9, 2014 to Mar 27, 2015
      • Advisory employees · 2 to 1
        May 9, 2014 to Mar 27, 2015
      • Employees · 2 to 1
        May 9, 2014 to Mar 27, 2015
      • State-registered IARs · 2 to 0
        May 9, 2014 to Mar 27, 2015
      • Discretionary RAUM · $23.5M to $22.6M
        May 9, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $11.5M to $9.9M
        May 9, 2014 to Mar 27, 2015
      • RAUM · $35.0M to $32.5M
        May 9, 2014 to Mar 27, 2015
      • Accounts · 33 to 53
        Nov 29, 2013 to Mar 25, 2014
      • Discretionary RAUM · $27.8M to $23.5M
        Nov 29, 2013 to Mar 25, 2014
      • Non-discretionary RAUM · $0 to $11.5M
        Nov 29, 2013 to Mar 25, 2014
      • RAUM · $27.8M to $35.0M
        Nov 29, 2013 to Mar 25, 2014
      • Discretionary RAUM · $9.2M to $27.8M
        Jun 14, 2013 to Nov 29, 2013
      • Non-discretionary RAUM · $18.6M to $0
        Jun 14, 2013 to Nov 29, 2013
      • Accounts · 0 to 33
        Mar 13, 2013 to Jun 14, 2013
      • BD registered reps · 1 to 0
        Mar 13, 2013 to Jun 14, 2013
      • Discretionary RAUM · $0 to $9.2M
        Mar 13, 2013 to Jun 14, 2013
      • Non-discretionary RAUM · $0 to $18.6M
        Mar 13, 2013 to Jun 14, 2013
      • RAUM · $0 to $27.8M
        Mar 13, 2013 to Jun 14, 2013
      • Advisory employees · 1 to 2
        Feb 6, 2013 to Mar 13, 2013
      • Advisory activities · 2 to 3
        Feb 6, 2013 to Mar 13, 2013
      • BD registered reps · 0 to 1
        Feb 6, 2013 to Mar 13, 2013
      • Employees · 1 to 2
        Feb 6, 2013 to Mar 13, 2013
      • State-registered IARs · 0 to 2
        Feb 6, 2013 to Mar 13, 2013
      • Business name · A•••• I••••••••• P••••••• I••• to A•••• P••••••• I•••
        Mar 13, 2013 to Mar 13, 2013
      • Legal name · A•••• I••••••••• P••••••• I••• to A•••• P••••••• I•••
        Mar 13, 2013 to Mar 13, 2013
      Signals
      1 dated events
      • ••• Locked
        Feb 6, 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