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Former SEC-registered adviser

T••• A•••••••• I•••

Former SEC-registered adviserCRD 171291SEC 801-79675IAPD
Latest filing Feb 25, 2025
First filing on the tape Apr 22, 2014 · 15 filings
SEC status approved since May 16, 2014
RAUM
$47.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$47.1M 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
15 filings and snapshots on the tape
RAUM$47.1M as of Feb 25, 2025
Feb 12, 2015$52.5M then
HNW client RAUM$47.1M as of Feb 25, 2025
Feb 8, 2018$35.7M then
State-registered IARs (5.B.3)2 as of Feb 25, 2025
Feb 12, 20150 then
Employees (5.A)2 as of Feb 25, 2025
Feb 12, 20152 then
Private funds: no history
RAUM +44% over the last fiscal year-7.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 25, 2025; every figure names its basis
RAUM per advisor
$23.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$11.8MderivedHNW RAUM over HNW clients
Average account
$3.9MderivedRAUM 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
+44%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 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
  • High-net-worth individuals$47.1M100%
Individual clients
n/areported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
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
      • A••••••• N•••• · President, Chief Excutive Officer, Chief Compliance Officercontrol
        since 06/2006 · 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
      • Accounts · 37 to 12
        Mar 26, 2024 to Feb 25, 2025
      • HNW clients · 6 to 4
        Mar 26, 2024 to Feb 25, 2025
      • Individual clients · 17.0 to unset
        Mar 26, 2024 to Feb 25, 2025
      • HQ city · unset to
        Mar 26, 2024 to Feb 25, 2025
      • HQ state · unset to
        Mar 26, 2024 to Feb 25, 2025
      • Discretionary RAUM · $32.8M to $47.1M
        Mar 26, 2024 to Feb 25, 2025
      • HNW RAUM · $30.3M to $47.1M
        Mar 26, 2024 to Feb 25, 2025
      • Individual RAUM · 2456545.0 to unset
        Mar 26, 2024 to Feb 25, 2025
      • RAUM · $32.8M to $47.1M
        Mar 26, 2024 to Feb 25, 2025
      • Accounts · 32 to 37
        Mar 8, 2023 to Mar 26, 2024
      • HNW clients · 8 to 6
        Mar 8, 2023 to Mar 26, 2024
      • Individual clients · 5 to 17
        Mar 8, 2023 to Mar 26, 2024
      • Discretionary RAUM · $43.1M to $32.8M
        Mar 8, 2023 to Mar 26, 2024
      • HNW RAUM · $42.1M to $30.3M
        Mar 8, 2023 to Mar 26, 2024
      • Individual RAUM · $1.0M to $2.5M
        Mar 8, 2023 to Mar 26, 2024
      • RAUM · $43.1M to $32.8M
        Mar 8, 2023 to Mar 26, 2024
      • Accounts · 53 to 32
        Feb 4, 2022 to Mar 8, 2023
      • Individual clients · 25 to 5
        Feb 4, 2022 to Mar 8, 2023
      • Discretionary RAUM · $60.2M to $43.1M
        Feb 4, 2022 to Mar 8, 2023
      • HNW RAUM · $45.9M to $42.1M
        Feb 4, 2022 to Mar 8, 2023
      • Individual RAUM · $14.2M to $1.0M
        Feb 4, 2022 to Mar 8, 2023
      • RAUM · $60.2M to $43.1M
        Feb 4, 2022 to Mar 8, 2023
      • Accounts · 46 to 53
        Mar 1, 2021 to Feb 4, 2022
      • HNW clients · 11 to 8
        Mar 1, 2021 to Feb 4, 2022
      • Individual clients · 9 to 25
        Mar 1, 2021 to Feb 4, 2022
      • Discretionary RAUM · $57.0M to $60.2M
        Mar 1, 2021 to Feb 4, 2022
      • HNW RAUM · $54.9M to $45.9M
        Mar 1, 2021 to Feb 4, 2022
      • Individual RAUM · $2.1M to $14.2M
        Mar 1, 2021 to Feb 4, 2022
      • RAUM · $57.0M to $60.2M
        Mar 1, 2021 to Feb 4, 2022
      • Accounts · 21 to 46
        Jun 19, 2020 to Mar 1, 2021
      • HNW clients · 10 to 11
        Jun 19, 2020 to Mar 1, 2021
      • Individual clients · unset to 9.0
        Jun 19, 2020 to Mar 1, 2021
      • Discretionary RAUM · $44.6M to $57.0M
        Jun 19, 2020 to Mar 1, 2021
      • HNW RAUM · $44.6M to $54.9M
        Jun 19, 2020 to Mar 1, 2021
      • Individual RAUM · unset to 2085525.0
        Jun 19, 2020 to Mar 1, 2021
      • RAUM · $44.6M to $57.0M
        Jun 19, 2020 to Mar 1, 2021
      • Accounts · 48 to 21
        Mar 5, 2019 to Mar 11, 2020
      • HNW clients · 29 to 10
        Mar 5, 2019 to Mar 11, 2020
      • Discretionary RAUM · $39.7M to $44.6M
        Mar 5, 2019 to Mar 11, 2020
      • HNW RAUM · $39.7M to $44.6M
        Mar 5, 2019 to Mar 11, 2020
      Signals
      2 dated events
      • T••• A•••••••• I••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $47.1M)
        Jul 1, 2025 · Left the SEC roster · derived
      • T••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 22, 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