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RIA Intelligence

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A••••••• I••••••••• M••••••••• ••••••••• P••• L•••

Former SEC-registered adviserFormer SEC adviser· S•••••••• 049318

Former SEC-registered adviser, based in S•••••••• 049318, reporting $203M of regulatory assets.

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

Last reported RAUM
$203M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+17%
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 168850 · SEC 801-78508 · 4 filingsShow
CRD 168850SEC 801-78508First filing on the tape Aug 22, 2013, latest Jun 25, 2015IAPD
RAUM
$203M
reported, Item 5.F
Discretionary
78%
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$203M as of Jun 25, 2015
Jun 30, 2014$173M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 25, 2015
Jun 30, 20140 then
Employees (5.A)5 as of Jun 25, 2015
Jun 30, 20146 then
Private funds: 1
RAUM +17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 25, 2015; 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
$67.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
78%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
+17%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 assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• A•••• F•••Other Private Fund$20.1M50Jun 30, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • L••• Y•••• N•• · Directorcontrol
        since 04/2012 · owns less than 5%
      • M•••••••• G•••••• J••• · Directorcontrol
        since 12/2008 · owns less than 5%
      • W••• J•••••• W•• H•••• · Ceo/Directorcontrol
        since 06/2008 · owns less than 5%
      • L••• Y•••• N•• · Ownercontrol
        since 09/2010 · owns 75% or more of A••••••• C•••••• H••••••• L••••••
      • T•••••• P•••••• K• · Chief Compliance Officer
        since 08/2013 · owns less than 5%
      Entity owners
      • A••••••• C•••••• H••••••• L•••••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••••• I••••••••• M••••••••• L••••••
        investment adviserbanknRAUM $524M
      • A••••••• I••••••••• M••••••••• •••••••• L•••
        bankpooled vehicle sponsorn
      • A••••••• I••••••••• M••••••••• L•••
        investment adviserbankn
      • R•••••••• A•••• M••••••••• ••••••• L•••
        bankpooled vehicle sponsorn
      Advisers that list A••••••• I••••••••• M••••••••• ••••••••• P••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 6 to 5
        Jul 24, 2014 to Jun 25, 2015
      • HQ city · S•••••••• 048623 to S•••••••• 049318
        Jul 24, 2014 to Jun 25, 2015
      • Private funds · 1 to unset
        Jul 24, 2014 to Jun 25, 2015
      • Discretionary RAUM · $121M to $158M
        Jul 24, 2014 to Jun 25, 2015
      • Non-discretionary RAUM · $51.9M to $44.9M
        Jul 24, 2014 to Jun 25, 2015
      • RAUM · $173M to $203M
        Jul 24, 2014 to Jun 25, 2015
      • Accounts · 2 to 3
        Aug 22, 2013 to Jun 30, 2014
      • Assets in custody · unset to 0.0
        Aug 22, 2013 to Jun 30, 2014
      • Custody of client assets · false to true
        Aug 22, 2013 to Jun 30, 2014
      • Private funds · unset to 1
        Aug 22, 2013 to Jun 30, 2014
      • Discretionary RAUM · $0 to $121M
        Aug 22, 2013 to Jun 30, 2014
      • Non-discretionary RAUM · $53.8M to $51.9M
        Aug 22, 2013 to Jun 30, 2014
      • RAUM · $53.8M to $173M
        Aug 22, 2013 to Jun 30, 2014
      Signals
      1 dated events
      • ••• Locked
        Aug 22, 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