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Former SEC-registered adviser

M••••••• R••••••••• A•• P•••••• C••••••••• L••

Former SEC-registered adviserCRD 167694SEC 801-80457IAPD
Latest filing Feb 1, 2016
First filing on the tape Oct 3, 2014 · 8 filings
RAUM
$125M
reported, Item 5.F
Discretionary
0.0%
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
8 filings and snapshots on the tape
RAUM$125M as of Feb 1, 2016
Feb 23, 2015$125M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 1, 2016
Feb 23, 20151 then
Employees (5.A)2 as of Feb 1, 2016
Feb 23, 20152 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 1, 2016; every figure names its basis
RAUM per advisor
$125MderivedRAUM 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
$15.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%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 assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 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)
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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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••••••• A••••• M•••••• · Managing Member And Chief Compliance Officercontrol
        since 04/2013 · 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
      • Related broker-dealer · false to true
        Feb 23, 2015 to Oct 20, 2015
      • Non-discretionary RAUM · $123M to $125M
        Jan 29, 2015 to Feb 23, 2015
      • RAUM · $123M to $125M
        Jan 29, 2015 to Feb 23, 2015
      • Employees · 1 to 2
        Oct 23, 2014 to Nov 12, 2014
      Signals
      1 dated events
      • M••••••• R••••••••• A•• P•••••• C••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 3, 2014 · 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