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Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $219,000 of regulatory assets.

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

Last reported RAUM
$219,000
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+18%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $219,000
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 170397 · SEC 801-79791 · 6 filingsShow
CRD 170397SEC 801-79791First filing on the tape May 16, 2014, latest Jan 8, 2018IAPD
RAUM
$219,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$219,000 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$219,000 as of Jan 8, 2018
Jan 27, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 8, 2018
Jan 27, 20150 then
Employees (5.A)1 as of Jan 8, 2018
Jan 27, 20151 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 8, 2018; 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
$109,500derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+18%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$219,000100%
Individual clients
2reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
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
      • S•••••••• M••• · Managing Member, Ceo, & Ccocontrol
        since 03/2014 · 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
      • Individual clients · unset to 2.0
        Feb 16, 2017 to Jan 8, 2018
      • Other offices · unset to 0.0
        Feb 16, 2017 to Jan 8, 2018
      • Discretionary RAUM · $186,000 to $219,000
        Feb 16, 2017 to Jan 8, 2018
      • Individual RAUM · unset to 219000.0
        Feb 16, 2017 to Jan 8, 2018
      • RAUM · $186,000 to $219,000
        Feb 16, 2017 to Jan 8, 2018
      • Discretionary RAUM · $187,000 to $186,000
        Jan 20, 2016 to Feb 16, 2017
      • RAUM · $187,000 to $186,000
        Jan 20, 2016 to Feb 16, 2017
      • Accounts · 0 to 2
        Jan 27, 2015 to Jan 20, 2016
      • Discretionary RAUM · $0 to $187,000
        Jan 27, 2015 to Jan 20, 2016
      • RAUM · $0 to $187,000
        Jan 27, 2015 to Jan 20, 2016
      • HQ city · NEW WESTMINSTER to unset
        May 23, 2014 to Jan 27, 2015
      Signals
      1 dated events
      • ••• Locked
        May 16, 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