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E•••• R••••• A••••••• L••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $190M of regulatory assets.

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

Last reported RAUM
$190M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-46%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
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 175482 · SEC 801-81171 · 11 filingsShow
CRD 175482SEC 801-81171First filing on the tape Mar 16, 2015, latest Mar 16, 2021IAPD
RAUM
$190M
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
32
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$190M as of Mar 16, 2021
Mar 30, 2016$137M then
HNW client RAUM$0 as of Mar 16, 2021
Feb 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 16, 2021
Mar 30, 20160 then
Employees (5.A)32 as of Mar 16, 2021
Mar 30, 201621 then
Private funds: no history
RAUM -46% over the last fiscal year-7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2021; 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
$94.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
96%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-46%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 assets, performance-based, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$182M96%
  • Corporations and businesses$7.6M4.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • D•••••••• A•••••• I•••• · Chairman, Ceocontrol
        since 03/2015 · owns less than 5%
      • P•••••• A•••••• R••• · Ccocontrol
        since 05/2015 · owns less than 5%
      • S••••••••• J•••• P•••• · Chief Financial Officercontrol
        since 01/2017 · owns less than 5%
      • D•••••••• A•••••• I•••• · Membercontrol
        since 06/2015 · owns 75% or more of E•••• M••••• S••••••• L••
      Entity owners
      • E•••• M••••• S••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••• I• D•••••••
        investment companyy
      • E•••• R••••• S••••••• L••
        investment companyn
      • E•••• R••••• S••••••• O• C••••••••• I•••
        investment companyn
      • N•• R••• A•••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Irvine, CA5 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 6
        Mar 5, 2020 to Mar 16, 2021
      • Employees · 35 to 32
        Mar 5, 2020 to Mar 16, 2021
      • Discretionary RAUM · $349M to $190M
        Mar 5, 2020 to Mar 16, 2021
      • RAUM · $349M to $190M
        Mar 5, 2020 to Mar 16, 2021
      • Advisory employees · 8 to 7
        Mar 22, 2019 to Mar 5, 2020
      • Employees · 39 to 35
        Mar 22, 2019 to Mar 5, 2020
      • Discretionary RAUM · $268M to $349M
        Mar 22, 2019 to Mar 5, 2020
      • RAUM · $268M to $349M
        Mar 22, 2019 to Mar 5, 2020
      • Employees · 40 to 39
        Feb 28, 2018 to Mar 22, 2019
      • Discretionary RAUM · $237M to $268M
        Feb 28, 2018 to Mar 22, 2019
      • RAUM · $237M to $268M
        Feb 28, 2018 to Mar 22, 2019
      • Charity clients · unset to 0.0
        Mar 23, 2017 to Feb 28, 2018
      • Corporate clients · unset to 1.0
        Mar 23, 2017 to Feb 28, 2018
      • HNW clients · unset to 0.0
        Mar 23, 2017 to Feb 28, 2018
      • Individual clients · unset to 0.0
        Mar 23, 2017 to Feb 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 23, 2017 to Feb 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 23, 2017 to Feb 28, 2018
      • Employees · 27 to 40
        Mar 23, 2017 to Feb 28, 2018
      • Other offices · unset to 1.0
        Mar 23, 2017 to Feb 28, 2018
      • Discretionary RAUM · $154M to $237M
        Mar 23, 2017 to Feb 28, 2018
      • HNW RAUM · unset to 0.0
        Mar 23, 2017 to Feb 28, 2018
      • Individual RAUM · unset to 0.0
        Mar 23, 2017 to Feb 28, 2018
      • Pension RAUM · unset to 0.0
        Mar 23, 2017 to Feb 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 23, 2017 to Feb 28, 2018
      • RAUM · $154M to $237M
        Mar 23, 2017 to Feb 28, 2018
      • Advisory employees · 6 to 8
        Mar 30, 2016 to Mar 23, 2017
      • Employees · 21 to 27
        Mar 30, 2016 to Mar 23, 2017
      • Discretionary RAUM · $137M to $154M
        Mar 30, 2016 to Mar 23, 2017
      • RAUM · $137M to $154M
        Mar 30, 2016 to Mar 23, 2017
      • Advisory employees · 7 to 6
        Jul 1, 2015 to Mar 30, 2016
      • Employees · 22 to 21
        Jul 1, 2015 to Mar 30, 2016
      • Discretionary RAUM · $136M to $137M
        Jul 1, 2015 to Mar 30, 2016
      • RAUM · $136M to $137M
        Jul 1, 2015 to Mar 30, 2016
      • Accounts · unset to 2.0
        Mar 20, 2015 to Jul 1, 2015
      • Advisory employees · 0 to 7
        Mar 20, 2015 to Jul 1, 2015
      • Advisory activities · 2 to 1
        Mar 20, 2015 to Jul 1, 2015
      • Employees · 0 to 22
        Mar 20, 2015 to Jul 1, 2015
      • Discretionary RAUM · unset to 136400000.0
        Mar 20, 2015 to Jul 1, 2015
      • Non-discretionary RAUM · unset to 0.0
        Mar 20, 2015 to Jul 1, 2015
      • RAUM · unset to 136400000.0
        Mar 20, 2015 to Jul 1, 2015
      Signals
      2 dated events
      • ••• Locked
        Mar 16, 2021 · RAUM change · derived
      • ••• Locked
        Mar 16, 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