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M••••••

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

Former SEC-registered adviser, based in New York, New York, reporting $3.0M of regulatory assets.

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

As of 2018-01-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $3.0M
RAUM change, 1 year: +7.1%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2018-01-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 26 Jan 2018, RAUM $2.8M to $3M (+7.1%) on the Form ADV filed 26 Jan 2018, while advisors on the filing rose 1 to 1.

Every filed figure, and the identifiersCRD 242794 · SEC 801-106509 · 7 filingsShow

CRD 242794SEC 801-106509Legal name M•••••• I••••••••• A•••••••• I•••First filing on the tape Jul 31, 2015, latest Jan 26, 2018IAPD

RAUM

$3.0M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$3.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM +7.1% over the last fiscal year · the tape starts Jul 31, 2015

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$3.0M as of Jan 26, 2018

Jan 26, 2016$650,000 then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Jan 26, 2018

Jan 26, 20160 then

Employees (5.A)1 as of Jan 26, 2018

Jan 26, 20161 then

Private funds: no history

RAUM +7.1% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Jan 26, 2018; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $3.0MderivedRAUM 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: $428,571derivedRAUM 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: +7.1%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
Wrap fee program: $3.0MreportedItem 5.I
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

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$3.0M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 7reported
Financial planning clients: n/areported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••••••• S•••••• J•• · Ceo, Cco,Shareholdercontrol
since 06/2015 · 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

Other offices · unset to 0.0
Feb 8, 2017 to Jan 26, 2018
Discretionary RAUM · $2.8M to $3.0M
Feb 8, 2017 to Jan 26, 2018
Individual RAUM · unset to 3000000.0
Feb 8, 2017 to Jan 26, 2018
RAUM · $2.8M to $3.0M
Feb 8, 2017 to Jan 26, 2018
Wrap assets (manager) · unset to 0.0
Feb 8, 2017 to Jan 26, 2018

Full history · 14 changes

Wrap assets (sponsor) · unset to 0.0
Feb 8, 2017 to Jan 26, 2018
Accounts · 4 to 7
Feb 9, 2016 to Feb 8, 2017
State-registered IARs · 0 to 1
Feb 9, 2016 to Feb 8, 2017
Discretionary RAUM · $650,000 to $2.8M
Feb 9, 2016 to Feb 8, 2017
RAUM · $650,000 to $2.8M
Feb 9, 2016 to Feb 8, 2017
Accounts · 0 to 4
Jan 12, 2016 to Jan 26, 2016
Discretionary RAUM · $0 to $650,000
Jan 12, 2016 to Jan 26, 2016
RAUM · $0 to $650,000
Jan 12, 2016 to Jan 26, 2016
Legal name · M•••••• I••••••••• A••••••• to M•••••• I••••••••• A•••••••• I•••
Jul 31, 2015 to Dec 3, 2015

Signals

1 dated events

••• Locked
Jul 31, 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026