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Former SEC-registered adviser

S••••• A••••••• • C••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 170934SEC 801-79559IAPD
Legal name S••••• A••••••• • C••• L••
Latest filing Aug 10, 2015
First filing on the tape Mar 31, 2014 · 18 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
18 filings and snapshots on the tape
RAUM$0 as of May 21, 2015
Feb 6, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 10, 2015
Mar 31, 20140 then
Employees (5.A)1 as of Aug 10, 2015
Mar 31, 20141 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 10, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
otherreportedItem 5.E
Advisory activities
selection of other advisers, otherreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • P•••••••• A••••• · Managing Partner/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
      • Legal name · S••••• A••••••• • C•• to S••••• A••••••• • C••• L••
        Aug 6, 2015 to Aug 10, 2015
      • Advisory activities · 4 to 2
        Jun 19, 2015 to Jun 23, 2015
      • Accounts · 0.0 to unset
        May 21, 2015 to Jun 19, 2015
      • State-registered IARs · 0 to 1
        May 21, 2015 to Jun 19, 2015
      • Discretionary RAUM · 0.0 to unset
        May 21, 2015 to Jun 19, 2015
      • Non-discretionary RAUM · 0.0 to unset
        May 21, 2015 to Jun 19, 2015
      • RAUM · 0.0 to unset
        May 21, 2015 to Jun 19, 2015
      • Accounts · unset to 0.0
        Nov 7, 2014 to Feb 6, 2015
      • Discretionary RAUM · unset to 0.0
        Nov 7, 2014 to Feb 6, 2015
      • Non-discretionary RAUM · unset to 0.0
        Nov 7, 2014 to Feb 6, 2015
      • RAUM · unset to 0.0
        Nov 7, 2014 to Feb 6, 2015
      • Legal name · P•••••••• A••••• to S••••• A••••••• • C••
        Apr 25, 2014 to Sep 22, 2014
      • Business name · A•••• M••••••••• A••••••••• to S••••• A••••••• • C••
        Mar 31, 2014 to Apr 15, 2014
      Signals
      1 dated events
      • A•••• M••••••••• A••••••••• filed its initial SEC registration (Form ADV)
        Mar 31, 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