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Former SEC-registered adviser

A•••••• • M••••• I••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 171489SEC 801-80601IAPD
Latest filing Mar 13, 2018
First filing on the tape Nov 10, 2014 · 8 filings
RAUM
$123M
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
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$123M as of Mar 13, 2018
Mar 27, 2015$108M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2018
Mar 27, 20150 then
Employees (5.A)4 as of Mar 13, 2018
Mar 27, 20155 then
Private funds: no history
RAUM +22% over the last fiscal year+4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 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
$6.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
51%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+22%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 businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$39.1M32%
  • Corporations and businesses$36.6M30%
  • Other investment advisers$24.4M20%
  • State and municipal entities$23.3M19%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
6reported
Accounts
20reported
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
      • W••••• D••••• G• · Chief Executive Officer And Managing Directorcontrol
        since 12/2014 · owns less than 5%
      • W••••••• K••••• A•••••• · Chief Compliance Officercontrol
        since 11/2016 · owns less than 5%
      • A••••••• A••••••• C••••••• · Ownercontrol
        since 03/1984 · owns 50% to 75% of A•••••• • M•••••• I•••
      • M•••••• B••••• P••• · Ownercontrol
        since 03/1984 · owns 25% to 50% of A•••••• • M•••••• I•••
      Entity owners
      • A•••••• • M•••••• I••• · Sole Shareholder Of Applicant, Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 20
        Mar 9, 2017 to Mar 13, 2018
      • Charity clients · unset to 6.0
        Mar 9, 2017 to Mar 13, 2018
      • Corporate clients · unset to 4.0
        Mar 9, 2017 to Mar 13, 2018
      • Employees · 5 to 4
        Mar 9, 2017 to Mar 13, 2018
      • Other offices · unset to 2.0
        Mar 9, 2017 to Mar 13, 2018
      • Discretionary RAUM · $101M to $123M
        Mar 9, 2017 to Mar 13, 2018
      • RAUM · $101M to $123M
        Mar 9, 2017 to Mar 13, 2018
      • Discretionary RAUM · $101M to $101M
        Nov 18, 2016 to Mar 9, 2017
      • RAUM · $101M to $101M
        Nov 18, 2016 to Mar 9, 2017
      • Accounts · 8 to 9
        Mar 19, 2016 to Nov 18, 2016
      • HQ city · SAN FRANCISCO to NEW YORK
        Mar 19, 2016 to Nov 18, 2016
      • HQ state · CA to NY
        Mar 19, 2016 to Nov 18, 2016
      • Discretionary RAUM · $72.6M to $101M
        Mar 19, 2016 to Nov 18, 2016
      • Non-discretionary RAUM · $75.0M to $0
        Mar 19, 2016 to Nov 18, 2016
      • RAUM · $148M to $101M
        Mar 19, 2016 to Nov 18, 2016
      • Accounts · 4 to 8
        Mar 27, 2015 to Mar 19, 2016
      • Advisory employees · 4 to 1
        Mar 27, 2015 to Mar 19, 2016
      • BD registered reps · 0 to 1
        Mar 27, 2015 to Mar 19, 2016
      • Discretionary RAUM · $33.1M to $72.6M
        Mar 27, 2015 to Mar 19, 2016
      • RAUM · $108M to $148M
        Mar 27, 2015 to Mar 19, 2016
      • Accounts · unset to 4.0
        Dec 15, 2014 to Mar 27, 2015
      • Advisory employees · 3 to 4
        Dec 15, 2014 to Mar 27, 2015
      • Employees · 4 to 5
        Dec 15, 2014 to Mar 27, 2015
      • Discretionary RAUM · unset to 33058431.0
        Dec 15, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · unset to 75000000.0
        Dec 15, 2014 to Mar 27, 2015
      • RAUM · unset to 108058431.0
        Dec 15, 2014 to Mar 27, 2015
      • Business name · A•••••• • M••••• L••••• A•••• M••••••••• S•••••••• L•• to A•••••• • M••••• I••••••••• M••••••••• L••
        Dec 10, 2014 to Dec 15, 2014
      • Legal name · A•••••• • M••••• L••••• A•••• M••••••••• S•••••••• L•• to A•••••• • M••••• I••••••••• M••••••••• L••
        Nov 10, 2014 to Dec 10, 2014
      Signals
      1 dated events
      • A•••••• • M••••• L••••• A•••• M••••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 10, 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