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Former SEC-registered adviser

5•• F••• A•••••••• L••

Former SEC-registered adviserWilmington, North CarolinaCRD 169663SEC 801-80810IAPD
Latest filing Dec 5, 2018
First filing on the tape Jan 3, 2014 · 18 filings
RAUM
$49.3M
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
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$49.3M as of Mar 26, 2018
Mar 11, 2015$40.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 26, 2018
Mar 11, 20152 then
Employees (5.A)4 as of Mar 26, 2018
Mar 11, 20155 then
Private funds: no history
RAUM -0.9% over the last fiscal year+7.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Dec 5, 2018; every figure names its basis
RAUM per advisor
$24.7MderivedRAUM 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
$49.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-0.9%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
portfolio management for investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$49.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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•••••• M• · Chief Executive Officer, Chief Operating Officercontrol
        since 03/2015 · owns less than 5%
      • J••••• R•••••• O••••• · Chief Investment Officercontrol
        since 03/2015 · owns less than 5%
      • M••••• J••••• S•••••••• · Managercontrol
        since 03/2015 · owns less than 5%
      • W•••••••• W••••••• L•••••• · Managercontrol
        since 03/2015 · owns less than 5%
      • C•••••• P••••• W•••• · Chief Compliance Officer
        since 12/2018 · owns less than 5%
      Entity owners
      • L••• O•• B••••••••• I••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • L••• O•• B•••••••••
        y
      • L••• O•• B•••••• C••••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 5 to 4
        Oct 12, 2017 to Mar 26, 2018
      • Discretionary RAUM · $49.8M to $49.3M
        Oct 12, 2017 to Mar 26, 2018
      • RAUM · $49.8M to $49.3M
        Oct 12, 2017 to Mar 26, 2018
      • Other offices · unset to 1.0
        Mar 28, 2017 to Oct 12, 2017
      • Employees · 6 to 5
        Sep 7, 2016 to Mar 28, 2017
      • Discretionary RAUM · $52.5M to $49.8M
        Sep 7, 2016 to Mar 28, 2017
      • RAUM · $52.5M to $49.8M
        Sep 7, 2016 to Mar 28, 2017
      • Employees · 5 to 6
        Jun 12, 2015 to Mar 25, 2016
      • Discretionary RAUM · $40.2M to $52.5M
        Jun 12, 2015 to Mar 25, 2016
      • RAUM · $40.2M to $52.5M
        Jun 12, 2015 to Mar 25, 2016
      • Accounts · 0 to 1
        Jan 29, 2015 to Mar 11, 2015
      • Insurance-licensed employees · 2 to 0
        Jan 29, 2015 to Mar 11, 2015
      • Discretionary RAUM · $0 to $40.2M
        Jan 29, 2015 to Mar 11, 2015
      • RAUM · $0 to $40.2M
        Jan 29, 2015 to Mar 11, 2015
      • Related adviser · true to false
        Jan 29, 2015 to Mar 11, 2015
      • Advisory employees · 3 to 2
        Jan 9, 2014 to Dec 23, 2014
      • Employees · 4 to 5
        Jan 9, 2014 to Dec 23, 2014
      • Insurance-licensed employees · 4 to 2
        Jan 9, 2014 to Dec 23, 2014
      • HQ city · LISLE to WILMINGTON
        Jan 9, 2014 to Dec 23, 2014
      • HQ state · IL to NC
        Jan 9, 2014 to Dec 23, 2014
      • State-registered IARs · 0 to 2
        Jan 9, 2014 to Dec 23, 2014
      Signals
      1 dated events
      • 5•• F••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 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