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Former SEC-registered adviser

L•••••••••

Former SEC-registered adviserCRD 170515SEC 801-79336IAPD
Legal name A••••••••• I••
Latest filing Nov 2, 2017
First filing on the tape Mar 5, 2014 · 16 filings
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$123M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM: $770,000
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 2, 2017
Mar 10, 20151 then
Employees (5.A)7 as of Mar 2, 2017
Mar 10, 20153 then
Private funds: 1
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Nov 2, 2017; every figure names its basis
RAUM per advisor
$63.7MderivedRAUM 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
$9,997derivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 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
$4.1M, 33 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)
  • 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
  • Individuals$123M97%
  • Pooled investment vehicles$4.1M3.2%
Individual clients
12,749reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12,750reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$4.1M for 33 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
      • B••••••••• B•• D••••• · Chief Compliance Officercontrol
        since 08/2017 · owns 10% to 25%
      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
      • Accounts · 6 to 12,750
        Apr 25, 2017 to Nov 2, 2017
      • BD registered reps · 0 to 2
        Apr 25, 2017 to Nov 2, 2017
      • Individual clients · unset to 12749.0
        Apr 25, 2017 to Nov 2, 2017
      • Pooled vehicle clients · unset to 1.0
        Apr 25, 2017 to Nov 2, 2017
      • Assets in custody · $325,000 to $4.1M
        Apr 25, 2017 to Nov 2, 2017
      • Employees · 7 to 2
        Apr 25, 2017 to Nov 2, 2017
      • Insurance-licensed employees · 0 to 2
        Apr 25, 2017 to Nov 2, 2017
      • Other offices · unset to 0.0
        Apr 25, 2017 to Nov 2, 2017
      • Organization form · Corporation to Limited Liability Company
        Apr 25, 2017 to Nov 2, 2017
      • Private funds · 1 to unset
        Apr 25, 2017 to Nov 2, 2017
      • Discretionary RAUM · $770,000 to $127M
        Apr 25, 2017 to Nov 2, 2017
      • Individual RAUM · unset to 123393628.0
        Apr 25, 2017 to Nov 2, 2017
      • Pooled vehicle RAUM · unset to 4068452.0
        Apr 25, 2017 to Nov 2, 2017
      • RAUM · $770,000 to $127M
        Apr 25, 2017 to Nov 2, 2017
      • Accounts · 7,248 to 6
        Jul 12, 2016 to Mar 2, 2017
      • Advisory employees · 1 to 2
        Jul 12, 2016 to Mar 2, 2017
      • Assets in custody · unset to 325000.0
        Jul 12, 2016 to Mar 2, 2017
      • Custody of client assets · false to true
        Jul 12, 2016 to Mar 2, 2017
      • State-registered IARs · 1 to 2
        Jul 12, 2016 to Mar 2, 2017
      • Private funds · unset to 1
        Jul 12, 2016 to Mar 2, 2017
      • Discretionary RAUM · $50.0M to $770,000
        Jul 12, 2016 to Mar 2, 2017
      • RAUM · $50.0M to $770,000
        Jul 12, 2016 to Mar 2, 2017
      • Accounts · unset to 7248.0
        Apr 19, 2016 to Apr 19, 2016
      • Discretionary RAUM · unset to 50000000.0
        Apr 19, 2016 to Apr 19, 2016
      • Non-discretionary RAUM · unset to 0.0
        Apr 19, 2016 to Apr 19, 2016
      • RAUM · unset to 50000000.0
        Apr 19, 2016 to Apr 19, 2016
      • Employees · 3 to 7
        Oct 21, 2015 to Feb 11, 2016
      • Accounts · 0.0 to unset
        Nov 7, 2014 to Mar 10, 2015
      • Discretionary RAUM · 0.0 to unset
        Nov 7, 2014 to Mar 10, 2015
      • Non-discretionary RAUM · 0.0 to unset
        Nov 7, 2014 to Mar 10, 2015
      • RAUM · 0.0 to unset
        Nov 7, 2014 to Mar 10, 2015
      • Business name · A••••••••• I•• to L•••••••••
        Mar 5, 2014 to Mar 13, 2014
      Signals
      1 dated events
      • A••••••••• I•• filed its initial SEC registration (Form ADV)
        Mar 5, 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