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Former SEC-registered adviser

7• N•••• F••••••

Former SEC-registered adviserCRD 269956SEC 801-100477IAPD
Legal name 7• N•••• F•••••• G••••• S••••••• C••••
Latest filing Mar 4, 2022
First filing on the tape Jun 29, 2015 · 12 filings
RAUM
$250M
reported, Item 5.F
Discretionary
12%
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$250M as of Mar 4, 2022
Mar 30, 2016$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 4, 2022
Mar 30, 20160 then
Employees (5.A)3 as of Mar 4, 2022
Mar 30, 20163 then
Private funds: 1
RAUM +0.0% over the last fiscal year-1.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 2022; 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
$17.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
12%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • Corporations and businesses$250M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• F•••no longer reportedSecuritized Asset Fund$273M10Mar 26, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• J•••• A••••• · Chief Compliance Officer/Chief Executive Officer/Presidentcontrol
        since 03/2015 · 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
      • HQ city · MIAMI to unset
        May 7, 2020 to May 14, 2021
      • HQ state · FL to unset
        May 7, 2020 to May 14, 2021
      • Non-discretionary RAUM · $240M to $220M
        May 7, 2020 to May 14, 2021
      • RAUM · $270M to $250M
        May 7, 2020 to May 14, 2021
      • Accounts · 5 to 14
        Mar 20, 2019 to May 1, 2020
      • Discretionary RAUM · $260M to $30.0M
        Mar 20, 2019 to May 1, 2020
      • Non-discretionary RAUM · $0 to $240M
        Mar 20, 2019 to May 1, 2020
      • RAUM · $260M to $270M
        Mar 20, 2019 to May 1, 2020
      • Corporate clients · unset to 5.0
        Oct 30, 2018 to Mar 20, 2019
      • Private funds · 1 to unset
        Oct 30, 2018 to Mar 20, 2019
      • Discretionary RAUM · $273M to $260M
        Oct 30, 2018 to Mar 20, 2019
      • Non-discretionary RAUM · $10.5M to $0
        Oct 30, 2018 to Mar 20, 2019
      • RAUM · $284M to $260M
        Oct 30, 2018 to Mar 20, 2019
      • Accounts · 4 to 5
        Mar 9, 2017 to Mar 26, 2018
      • Advisory employees · 2 to 3
        Mar 9, 2017 to Mar 26, 2018
      • Advisory activities · 3 to 4
        Mar 9, 2017 to Mar 26, 2018
      • Legal name · 7• N•••• G••••• S••••••• C•••• to 7• N•••• F•••••• G••••• S••••••• C••••
        Mar 9, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 9, 2017 to Mar 26, 2018
      • Private funds · unset to 1
        Mar 9, 2017 to Mar 26, 2018
      • Discretionary RAUM · $234M to $273M
        Mar 9, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · $1.0B to $10.5M
        Mar 9, 2017 to Mar 26, 2018
      • RAUM · $1.2B to $284M
        Mar 9, 2017 to Mar 26, 2018
      • Accounts · 3 to 4
        Mar 30, 2016 to Mar 9, 2017
      • HQ city · unset to MIAMI
        Mar 30, 2016 to Mar 9, 2017
      • HQ state · unset to FL
        Mar 30, 2016 to Mar 9, 2017
      • Discretionary RAUM · $0 to $234M
        Mar 30, 2016 to Mar 9, 2017
      • Non-discretionary RAUM · $1.2B to $1.0B
        Mar 30, 2016 to Mar 9, 2017
      • RAUM · $1.2B to $1.2B
        Mar 30, 2016 to Mar 9, 2017
      • Accounts · 1 to 3
        Sep 25, 2015 to Mar 30, 2016
      • Employees · 4 to 3
        Sep 25, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.2B to $0
        Sep 25, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $0 to $1.2B
        Sep 25, 2015 to Mar 30, 2016
      • Business name · 7• N•••• G••••• S••••••• C•••• to 7• N•••• F••••••
        Jun 29, 2015 to Jul 1, 2015
      Signals
      2 dated events
      • 7• N•••• F•••••• reported RAUM $283.6M, down 77% from $1.2B (2017-03-09 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      • 7• N•••• G••••• S••••••• C•••• filed its initial SEC registration (Form ADV)
        Jun 29, 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