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Former SEC-registered adviser

G•• I••••••••• S•••••••• I•••

Former SEC-registered adviserBethlehem, PennsylvaniaCRD 173093SEC 801-98345IAPD
Latest filing Feb 25, 2021
First filing on the tape May 21, 2015 · 15 filings
RAUM
$197M
reported, Item 5.F
Discretionary
0.3%
of RAUM
Private clients
3.5%
$6.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 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$197M as of Feb 18, 2021
Feb 18, 2016$153M then
HNW client RAUM$2.7M as of Feb 18, 2021
Feb 5, 2018$5.0M then
State-registered IARs (5.B.3)1 as of Feb 18, 2021
Feb 18, 20160 then
Employees (5.A)2 as of Feb 18, 2021
Feb 18, 20162 then
Private funds: no history
RAUM -2.8% over the last fiscal year-3.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 25, 2021; every figure names its basis
RAUM per advisor
$197MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.3%derivedof RAUM
Institutional
97%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.8%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 assets, hourly, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, 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
  • 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
  • Pension and profit-sharing plans$191M97%
  • Individuals$4.2M2.1%
  • High-net-worth individuals$2.7M1.4%
Individual clients
74reported
HNW clients
1reported
Pension plan clients
55reported
Charitable clients
n/areported
Accounts
74reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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•••••••• F••••• S• · President & Chief Compliance Officercontrol
        since 07/2016 · 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
      • Wrap assets (manager) · 2944000.0 to unset
        Feb 18, 2021 to Feb 25, 2021
      • Wrap assets (sponsor) · 0.0 to unset
        Feb 18, 2021 to Feb 25, 2021
      • Accounts · 286 to 74
        Sep 24, 2020 to Feb 18, 2021
      • Advisory activities · 3 to 4
        Sep 24, 2020 to Feb 18, 2021
      • HNW clients · unset to 1.0
        Sep 24, 2020 to Feb 18, 2021
      • Individual clients · 182 to 74
        Sep 24, 2020 to Feb 18, 2021
      • Discretionary RAUM · $450,000 to $550,000
        Sep 24, 2020 to Feb 18, 2021
      • HNW RAUM · unset to 2700000.0
        Sep 24, 2020 to Feb 18, 2021
      • Individual RAUM · $40.0M to $4.2M
        Sep 24, 2020 to Feb 18, 2021
      • Non-discretionary RAUM · $203M to $197M
        Sep 24, 2020 to Feb 18, 2021
      • Pension RAUM · $163M to $191M
        Sep 24, 2020 to Feb 18, 2021
      • RAUM · $203M to $197M
        Sep 24, 2020 to Feb 18, 2021
      • Wrap assets (manager) · unset to 2944000.0
        Sep 24, 2020 to Feb 18, 2021
      • Wrap assets (sponsor) · unset to 0.0
        Sep 24, 2020 to Feb 18, 2021
      • Accounts · 1,100 to 286
        Jan 24, 2019 to Jan 29, 2020
      • Individual clients · 250 to 182
        Jan 24, 2019 to Jan 29, 2020
      • Pension plan clients · 50 to 55
        Jan 24, 2019 to Jan 29, 2020
      • Discretionary RAUM · $0 to $450,000
        Jan 24, 2019 to Jan 29, 2020
      • Individual RAUM · $35.0M to $40.0M
        Jan 24, 2019 to Jan 29, 2020
      • Non-discretionary RAUM · $190M to $203M
        Jan 24, 2019 to Jan 29, 2020
      • Pension RAUM · $155M to $163M
        Jan 24, 2019 to Jan 29, 2020
      • RAUM · $190M to $203M
        Jan 24, 2019 to Jan 29, 2020
      • Accounts · 401 to 1,100
        Feb 5, 2018 to Jan 24, 2019
      • BD registered reps · 2 to 1
        Feb 5, 2018 to Jan 24, 2019
      • Individual clients · 200 to 250
        Feb 5, 2018 to Jan 24, 2019
      • Employees · 3 to 2
        Feb 5, 2018 to Jan 24, 2019
      • Insurance-licensed employees · 2 to 1
        Feb 5, 2018 to Jan 24, 2019
      • State-registered IARs · 2 to 1
        Feb 5, 2018 to Jan 24, 2019
      • Discretionary RAUM · $450,000 to $0
        Feb 5, 2018 to Jan 24, 2019
      • HNW RAUM · 5000000.0 to unset
        Feb 5, 2018 to Jan 24, 2019
      • Individual RAUM · $37.0M to $35.0M
        Feb 5, 2018 to Jan 24, 2019
      • Non-discretionary RAUM · $217M to $190M
        Feb 5, 2018 to Jan 24, 2019
      • Pension RAUM · $175M to $155M
        Feb 5, 2018 to Jan 24, 2019
      • RAUM · $217M to $190M
        Feb 5, 2018 to Jan 24, 2019
      • HNW RAUM · unset to 5000000.0
        Nov 1, 2017 to Feb 5, 2018
      • Individual RAUM · unset to 37000000.0
        Nov 1, 2017 to Feb 5, 2018
      • Non-discretionary RAUM · $185M to $217M
        Nov 1, 2017 to Feb 5, 2018
      • Accounts · 110 to 401
        Nov 1, 2017 to Feb 5, 2018
      • Individual clients · unset to 200.0
        Nov 1, 2017 to Feb 5, 2018
      • Pension plan clients · unset to 50.0
        Nov 1, 2017 to Feb 5, 2018
      Signals
      1 dated events
      • G•• I••••••••• S••••••• filed its initial SEC registration (Form ADV)
        May 21, 2015 · 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