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M••••• • A•••••••••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $700,000 of regulatory assets.

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

Last reported RAUM
$700,000
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-53%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $700,000
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 173049 · SEC 801-80422 · 13 filingsShow
CRD 173049SEC 801-80422Legal name M•••••• J•••• S•••••••First filing on the tape Sep 26, 2014, latest Oct 18, 2019IAPD
RAUM
$700,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$700,000 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
13 filings and snapshots on the tape
RAUM$700,000 as of Feb 1, 2019
Feb 2, 2015$350,000 then
HNW client RAUM$300,000 as of Feb 1, 2019
Jan 29, 2018$600,000 then
State-registered IARs (5.B.3)1 as of Feb 1, 2019
Feb 2, 20151 then
Employees (5.A)1 as of Feb 1, 2019
Feb 2, 20151 then
Private funds: no history
RAUM -53% over the last fiscal year-26% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 18, 2019; every figure names its basis
RAUM per advisor
$700,000derivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$150,000derivedHNW RAUM over HNW clients
Average account
$38,889derivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-53%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-11%derived
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
  • 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$400,00057%
  • High-net-worth individuals$300,00043%
Individual clients
14reported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
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
      • M•••••• J•••• S••••••• · Ownercontrol
        since 06/2010 · 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 · 16 to 14
        Jan 29, 2018 to Feb 1, 2019
      • Discretionary RAUM · $1.5M to $700,000
        Jan 29, 2018 to Feb 1, 2019
      • HNW RAUM · $600,000 to $300,000
        Jan 29, 2018 to Feb 1, 2019
      • Individual RAUM · $900,000 to $400,000
        Jan 29, 2018 to Feb 1, 2019
      • RAUM · $1.5M to $700,000
        Jan 29, 2018 to Feb 1, 2019
      • Accounts · 30 to 18
        Jul 17, 2017 to Jan 29, 2018
      • HNW clients · unset to 2.0
        Jul 17, 2017 to Jan 29, 2018
      • Individual clients · unset to 16.0
        Jul 17, 2017 to Jan 29, 2018
      • Other offices · unset to 0.0
        Jul 17, 2017 to Jan 29, 2018
      • HNW RAUM · unset to 600000.0
        Jul 17, 2017 to Jan 29, 2018
      • Individual RAUM · unset to 900000.0
        Jul 17, 2017 to Jan 29, 2018
      • Discretionary RAUM · $2.0M to $1.5M
        Apr 11, 2017 to Jul 17, 2017
      • RAUM · $2.0M to $1.5M
        Apr 11, 2017 to Jul 17, 2017
      • Discretionary RAUM · $1.5M to $2.0M
        Feb 8, 2017 to Apr 11, 2017
      • RAUM · $1.5M to $2.0M
        Feb 8, 2017 to Apr 11, 2017
      • Accounts · 34 to 30
        Jan 21, 2016 to Feb 8, 2017
      • Discretionary RAUM · $1.8M to $1.5M
        Jan 21, 2016 to Feb 8, 2017
      • RAUM · $1.8M to $1.5M
        Jan 21, 2016 to Feb 8, 2017
      • Accounts · 20 to 34
        Nov 19, 2015 to Jan 21, 2016
      • Discretionary RAUM · $875,000 to $1.8M
        Nov 19, 2015 to Jan 21, 2016
      • Non-discretionary RAUM · $875,000 to $0
        Nov 19, 2015 to Jan 21, 2016
      • Accounts · 12 to 20
        Feb 2, 2015 to Nov 19, 2015
      • Discretionary RAUM · $350,000 to $875,000
        Feb 2, 2015 to Nov 19, 2015
      • Non-discretionary RAUM · $0 to $875,000
        Feb 2, 2015 to Nov 19, 2015
      • RAUM · $350,000 to $1.8M
        Feb 2, 2015 to Nov 19, 2015
      • Accounts · 0 to 12
        Oct 15, 2014 to Feb 2, 2015
      • Discretionary RAUM · $0 to $350,000
        Oct 15, 2014 to Feb 2, 2015
      • RAUM · $0 to $350,000
        Oct 15, 2014 to Feb 2, 2015
      • Legal name · M••••• • A••••••••• to M•••••• J•••• S•••••••
        Oct 13, 2014 to Oct 15, 2014
      • Legal name · M•••••, J••• S to M••••• • A•••••••••
        Sep 26, 2014 to Oct 13, 2014
      Signals
      1 dated events
      • ••• Locked
        Sep 26, 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