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Former SEC-registered adviser

F•••••••• O••• I•••

Former SEC-registered adviserBoca Raton, FloridaCRD 168061SEC 801-78226websiteIAPD
Latest filing Mar 31, 2015
First filing on the tape Jun 13, 2013 · 9 filings
RAUM
$19.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$19.9M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$19.9M as of Mar 31, 2015
Mar 19, 2014$20.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2015
Mar 19, 20141 then
Employees (5.A)5 as of Mar 31, 2015
Mar 19, 20145 then
Private funds: no history
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$19.9MderivedRAUM 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
$296,299derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.7%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
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$19.4M, 72 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
67reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$19.4M for 72 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
H••••• L••••• S•••••••Boca Raton, FlJun 2, 201624 y3
Advisor movement
Left, 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•••••••• H•••••• L••••• · President/Chief Compliance Officercontrol
      since 09/2013 · owns 75% or more
    Related persons
    Schedule D 7.A
    • T•• L•• O••••• O• H••••• L• S•••••••• P•••
      insuranceinvestment companyreal estaten
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 72 to 67
      Nov 3, 2014 to Mar 31, 2015
    • Discretionary RAUM · $19.4M to $19.9M
      Nov 3, 2014 to Mar 31, 2015
    • RAUM · $19.4M to $19.9M
      Nov 3, 2014 to Mar 31, 2015
    • Accounts · 75 to 72
      Aug 14, 2014 to Nov 3, 2014
    • Assets in custody · unset to 19409393.0
      Aug 14, 2014 to Nov 3, 2014
    • Custody of client assets · false to true
      Aug 14, 2014 to Nov 3, 2014
    • Discretionary RAUM · $20.5M to $19.4M
      Aug 14, 2014 to Nov 3, 2014
    • RAUM · $20.5M to $19.4M
      Aug 14, 2014 to Nov 3, 2014
    • Accounts · 31 to 75
      Mar 26, 2014 to Aug 14, 2014
    • Financial planning clients · 0 to 26-50
      Mar 26, 2014 to Aug 14, 2014
    • Discretionary RAUM · $20.0M to $20.5M
      Mar 26, 2014 to Aug 14, 2014
    • RAUM · $20.0M to $20.5M
      Mar 26, 2014 to Aug 14, 2014
    • Accounts · 0 to 31
      Oct 2, 2013 to Mar 19, 2014
    • Employees · 3 to 5
      Oct 2, 2013 to Mar 19, 2014
    • Discretionary RAUM · $0 to $20.0M
      Oct 2, 2013 to Mar 19, 2014
    • RAUM · $0 to $20.0M
      Oct 2, 2013 to Mar 19, 2014
    • Business name · 5• T••••••• A••••••• L•• to F•••••••• O••• I•••
      Sep 6, 2013 to Oct 2, 2013
    • Legal name · 5• T••••••• A••••••• L•• to F•••••••• O••• I•••
      Sep 6, 2013 to Oct 2, 2013
    • Succession · true to false
      Sep 6, 2013 to Oct 2, 2013
    • Accounts · unset to 0.0
      Jun 13, 2013 to Sep 6, 2013
    • Advisory employees · 0 to 1
      Jun 13, 2013 to Sep 6, 2013
    • Advisory activities · 1 to 5
      Jun 13, 2013 to Sep 6, 2013
    • BD registered reps · 1 to 0
      Jun 13, 2013 to Sep 6, 2013
    • Employees · 1 to 3
      Jun 13, 2013 to Sep 6, 2013
    • Insurance-licensed employees · 1 to 0
      Jun 13, 2013 to Sep 6, 2013
    • Financial planning clients · unset to 0
      Jun 13, 2013 to Sep 6, 2013
    • HQ city · ALBANY to BOCA RATON
      Jun 13, 2013 to Sep 6, 2013
    • HQ state · NY to FL
      Jun 13, 2013 to Sep 6, 2013
    • Discretionary RAUM · unset to 0.0
      Jun 13, 2013 to Sep 6, 2013
    • Non-discretionary RAUM · unset to 0.0
      Jun 13, 2013 to Sep 6, 2013
    • RAUM · unset to 0.0
      Jun 13, 2013 to Sep 6, 2013
    • Related adviser · true to false
      Jun 13, 2013 to Sep 6, 2013
    • Related broker-dealer · true to false
      Jun 13, 2013 to Sep 6, 2013
    • Related insurance company · false to true
      Jun 13, 2013 to Sep 6, 2013
    • Organization form · Limited Liability Company to Corporation
      Sep 6, 2013 to Sep 6, 2013
    • Succession · false to true
      Sep 6, 2013 to Sep 6, 2013
    Signals
    2 dated events
    • 5• T••••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Sep 6, 2013 · Succession (Item 4) · fact
    • 5• T••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Jun 13, 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.
    How to reach
    public business contact points only, each with its source
    Website
    w••.f•••••••••.comreportedpublic record, Form ADV, Mar 30, 2026
    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
    $19.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026