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Former SEC-registered adviser

P•••••• C••••••••• A•••••••• L••

Former SEC-registered adviserPortland, OregonCRD 269864SEC 801-100448IAPD
Latest filing Mar 4, 2019
First filing on the tape Jun 24, 2015 · 21 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
28 advisory (5.B.1)
Offices
15
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 4, 2019
Feb 23, 20165 then
Employees (5.A)29 as of Mar 4, 2019
Feb 23, 201632 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 7 to 7offices 1 to 15
Practice profile
derived from the filing of Mar 4, 2019; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.1derivedItem 5.A over advisors
Advisors per office
0.4derived16 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
pension consulting, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
32reported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, 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
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
    • C•••••••• K••• R••• · Membercontrol
      since 07/2017 · owns less than 5%
    • C•••••••• J•••••• F•• · Membercontrol
      since 06/2015 · owns 5% to 10%
    • F••••••••• T••• G•••••• · Membercontrol
      since 07/2017 · owns less than 5%
    • R••• N•••• A•••• · Membercontrol
      since 06/2015 · owns 5% to 10%
    • E••••• A••••• R••••• · Presidentcontrol
      since 02/2007 · owns 75% or more of P•••••• C••••••••• A•••••••• I•••
    • F•••••• C••••••••• · Membercontrol
      since 09/2016 · owns F of A••••• T••••••• C•••••••••
    • S•••••• E•••• · Chief Compliance Officer
      since 04/2018 · owns less than 5%
    Entity owners
    • A••••• T••••••• C••••••••• · Member
      direct · owns 5% to 10%
    • P•••••• C••••••••• A•••••••• I••• · Member
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY3 employees
    • , 2 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 30 to 28
      Jul 6, 2018 to Mar 4, 2019
    • Pension plan clients · unset to 32.0
      Jul 6, 2018 to Mar 4, 2019
    • Employees · 31 to 29
      Jul 6, 2018 to Mar 4, 2019
    • Other offices · 1 to 15
      Jul 6, 2018 to Mar 4, 2019
    • Advisory employees · 29 to 30
      Nov 6, 2017 to Mar 2, 2018
    • State-registered IARs · 5 to 7
      Nov 6, 2017 to Mar 2, 2018
    • Pension RAUM · unset to 0.0
      Nov 6, 2017 to Mar 2, 2018
    • Other offices · unset to 1.0
      Sep 29, 2017 to Nov 6, 2017
    • Employees · 32 to 31
      Jul 28, 2016 to Mar 29, 2017
    • Insurance-licensed employees · 5 to 0
      Jul 28, 2016 to Mar 29, 2017
    • Advisory employees · 27 to 29
      Jul 22, 2015 to Feb 23, 2016
    • Advisory activities · 1 to 2
      Jul 22, 2015 to Feb 23, 2016
    • Employees · 30 to 32
      Jul 22, 2015 to Feb 23, 2016
    • Insurance-licensed employees · 0 to 5
      Jul 22, 2015 to Feb 23, 2016
    • Financial planning clients · 0 to unset
      Jul 22, 2015 to Feb 23, 2016
    • Succession · true to false
      Jun 24, 2015 to Jun 30, 2015
    Signals
    3 dated events
    • ••• Locked
      Mar 4, 2019 · Office count change · derived
    • ••• Locked
      Jun 24, 2015 · Succession (Item 4) · fact
    • ••• Locked
      Jun 24, 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