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A•••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $135M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$135M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not established
Private clients
92% of RAUM, $124M
Form ADV
Advisors (2)Advisor 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 281073 · SEC 801-132930 · 2 filingsShow
CRD 281073SEC 801-132930Legal name A••••• I•••First filing on the tape May 6, 2025, latest Mar 26, 2026SEC status approved since Jun 6, 2025IAPD
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$124M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$135M as of Mar 26, 2026
May 6, 2025$114M then
HNW client RAUM$78.8M as of Mar 26, 2026
May 6, 2025$77.5M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
May 6, 20252 then
Employees (5.A)2 as of Mar 26, 2026
May 6, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
RAUM per advisor
$67.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$335,047derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$78.8M58%
  • Individuals$45.2M34%
  • Pension and profit-sharing plans$10.6M7.8%
  • Corporations and businesses$355,4780.3%
Individual clients
102reported
HNW clients
30reported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
403reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G•••• D•••• S••••Certified Financial PlannerPortland, OrSep 10, 201524 y2
K••••• E••••• S••••Certified Financial PlannerSaint Paul, MnJun 27, 202310 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • business activity changedChange between filings · filing Mar 26, 2026
      pension consulting (Item 5.G.6): no on the filing of 2025-05-06, yes on the filing of 2026-03-26
      peers: independent wealth managers, $100M to $500M (5,682)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 401 to 403
      May 6, 2025 to Mar 26, 2026
    • Advisory activities · 2 to 3
      May 6, 2025 to Mar 26, 2026
    • Individual clients · 92 to 102
      May 6, 2025 to Mar 26, 2026
    • Pension plan clients · 5 to 8
      May 6, 2025 to Mar 26, 2026
    • Discretionary RAUM · $114M to $135M
      May 6, 2025 to Mar 26, 2026
    • HNW RAUM · $77.5M to $78.8M
      May 6, 2025 to Mar 26, 2026
    • Individual RAUM · $33.9M to $45.2M
      May 6, 2025 to Mar 26, 2026
    • Pension RAUM · $2.2M to $10.6M
      May 6, 2025 to Mar 26, 2026
    • RAUM · $114M to $135M
      May 6, 2025 to Mar 26, 2026
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
    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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $67.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026