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Former SEC-registered adviser

E••••••• A•••••••• L••

Former SEC-registered adviserAnnapolis, MarylandCRD 168251SEC 801-78335IAPD
Latest filing Apr 11, 2014
First filing on the tape Jul 8, 2013 · 5 filings
RAUM
$36.3M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$36.3M as of Apr 11, 2014
Nov 5, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 11, 2014
Jul 8, 20130 then
Employees (5.A)1 as of Apr 11, 2014
Jul 8, 20131 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 11, 2014; every figure names its basis
RAUM per advisor
$36.3MderivedRAUM 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
$659,127derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individualsreportedItem 5.G
Custody
$36.3M, 55 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
55reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$36.3M for 55 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
      • R•••••• D••••• T••••• · Managing Member & Chief Compliance Officercontrol
        since 11/2013 · 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
      • Assets in custody · unset to 36252000.0
        Apr 1, 2014 to Apr 11, 2014
      • Custody of client assets · false to true
        Apr 1, 2014 to Apr 11, 2014
      • Accounts · 0 to 55
        Nov 5, 2013 to Feb 20, 2014
      • Business name · T••••••• A•••••• 8• L•• to E••••••• A•••••••• L••
        Nov 5, 2013 to Feb 20, 2014
      • Legal name · T••••••• A•••••• 8• L•• to E••••••• A•••••••• L••
        Nov 5, 2013 to Feb 20, 2014
      • Discretionary RAUM · $0 to $36.3M
        Nov 5, 2013 to Feb 20, 2014
      • RAUM · $0 to $36.3M
        Nov 5, 2013 to Feb 20, 2014
      • Accounts · unset to 0.0
        Jul 8, 2013 to Nov 5, 2013
      • Advisory employees · 0 to 1
        Jul 8, 2013 to Nov 5, 2013
      • BD registered reps · 1 to 0
        Jul 8, 2013 to Nov 5, 2013
      • Insurance-licensed employees · 1 to 0
        Jul 8, 2013 to Nov 5, 2013
      • HQ city · ALBANY to ANNAPOLIS
        Jul 8, 2013 to Nov 5, 2013
      • HQ state · NY to MD
        Jul 8, 2013 to Nov 5, 2013
      • State-registered IARs · 0 to 1
        Jul 8, 2013 to Nov 5, 2013
      • Discretionary RAUM · unset to 0.0
        Jul 8, 2013 to Nov 5, 2013
      • Non-discretionary RAUM · unset to 0.0
        Jul 8, 2013 to Nov 5, 2013
      • RAUM · unset to 0.0
        Jul 8, 2013 to Nov 5, 2013
      • Related adviser · true to false
        Jul 8, 2013 to Nov 5, 2013
      • Related broker-dealer · true to false
        Jul 8, 2013 to Nov 5, 2013
      Signals
      1 dated events
      • ••• Locked
        Jul 8, 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