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E••••••• F•••••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $8.4M of regulatory assets.

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

Last reported RAUM
$8.4M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-50%
Form ADV, consecutive annual filings
Private clients
95% of RAUM, $8.0M
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 281704 · SEC 801-108103 · 26 filingsShow
CRD 281704SEC 801-108103First filing on the tape Oct 8, 2015, latest Apr 21, 2023IAPD
RAUM
$8.4M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$8.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$8.4M as of Mar 7, 2023
Mar 17, 2017$204M then
HNW client RAUM$7.3M as of Mar 7, 2023
Feb 28, 2018$1.3M then
State-registered IARs (5.B.3)1 as of Mar 7, 2023
Mar 17, 20172 then
Employees (5.A)1 as of Mar 7, 2023
Mar 17, 20172 then
Private funds: no history
RAUM -50% over the last fiscal year-67% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 21, 2023; every figure names its basis
RAUM per advisor
$8.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$312,870derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
5.3%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
-50%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-14%derived
Compensation
percentage of assets, 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$7.3M87%
  • Individuals$658,4767.8%
  • Pension and profit-sharing plans$449,3445.3%
Individual clients
7reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • E•••••••• T•••••••• T•••••• · Managing Member And Chief Compliance Officercontrol
        since 09/2015 · 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
      • HNW clients · 4 to 5
        Feb 16, 2023 to Mar 7, 2023
      • Individual clients · 10 to 7
        Feb 16, 2023 to Mar 7, 2023
      • Pension plan clients · 5.0 to unset
        Feb 16, 2023 to Mar 7, 2023
      • Discretionary RAUM · $13.4M to $8.0M
        Feb 16, 2023 to Mar 7, 2023
      • HNW RAUM · $11.6M to $7.3M
        Feb 16, 2023 to Mar 7, 2023
      • Individual RAUM · $1.8M to $658,476
        Feb 16, 2023 to Mar 7, 2023
      • Non-discretionary RAUM · $3.4M to $449,344
        Feb 16, 2023 to Mar 7, 2023
      • Pension RAUM · $3.4M to $449,344
        Feb 16, 2023 to Mar 7, 2023
      • RAUM · $16.8M to $8.4M
        Feb 16, 2023 to Mar 7, 2023
      • Accounts · 31 to 27
        Aug 4, 2021 to Mar 18, 2022
      • Corporate clients · 1.0 to unset
        Aug 4, 2021 to Mar 18, 2022
      • Individual clients · 8 to 10
        Aug 4, 2021 to Mar 18, 2022
      • Pension plan clients · 10 to 5
        Aug 4, 2021 to Mar 18, 2022
      • Financial planning clients · 11-25 to 1-10
        Aug 4, 2021 to Mar 18, 2022
      • Discretionary RAUM · $20.5M to $13.4M
        Aug 4, 2021 to Mar 18, 2022
      • HNW RAUM · $2.4M to $11.6M
        Aug 4, 2021 to Mar 18, 2022
      • Individual RAUM · $1.1M to $1.8M
        Aug 4, 2021 to Mar 18, 2022
      • Non-discretionary RAUM · $175M to $3.4M
        Aug 4, 2021 to Mar 18, 2022
      • Pension RAUM · $175M to $3.4M
        Aug 4, 2021 to Mar 18, 2022
      • RAUM · $195M to $16.8M
        Aug 4, 2021 to Mar 18, 2022
      • Succession · false to true
        Feb 10, 2021 to Jul 28, 2021
      • Business name · I••••••• A•••• M••••••••• L•• to E••••••• F•••••••• L••
        Jul 28, 2021 to Jul 28, 2021
      • Legal name · I••••••• A•••• M••••••••• L•• to E••••••• F•••••••• L••
        Jul 28, 2021 to Jul 28, 2021
      • Succession · true to false
        Jul 28, 2021 to Jul 28, 2021
      • Accounts · 22 to 31
        Jun 23, 2020 to Feb 10, 2021
      • Corporate clients · unset to 1.0
        Jun 23, 2020 to Feb 10, 2021
      • HNW clients · unset to 4.0
        Jun 23, 2020 to Feb 10, 2021
      • Individual clients · 5 to 8
        Jun 23, 2020 to Feb 10, 2021
      • Pension plan clients · 8 to 10
        Jun 23, 2020 to Feb 10, 2021
      • Discretionary RAUM · $2.0M to $20.5M
        Jun 23, 2020 to Feb 10, 2021
      • HNW RAUM · $1.6M to $2.4M
        Jun 23, 2020 to Feb 10, 2021
      • Individual RAUM · $202,233 to $1.1M
        Jun 23, 2020 to Feb 10, 2021
      • Non-discretionary RAUM · $229M to $175M
        Jun 23, 2020 to Feb 10, 2021
      • Pension RAUM · $229M to $175M
        Jun 23, 2020 to Feb 10, 2021
      • RAUM · $231M to $195M
        Jun 23, 2020 to Feb 10, 2021
      • HQ city · AGOURA HILLS to unset
        Mar 24, 2020 to May 8, 2020
      • HQ state · CA to unset
        Mar 24, 2020 to May 8, 2020
      • Accounts · 17 to 22
        Feb 25, 2019 to Mar 24, 2020
      • Advisory employees · 2 to 1
        Feb 25, 2019 to Mar 24, 2020
      • Individual clients · unset to 5.0
        Feb 25, 2019 to Mar 24, 2020
      Signals
      3 dated events
      • ••• Locked
        Mar 18, 2022 · RAUM change · derived
      • ••• Locked
        Jul 28, 2021 · Succession (Item 4) · fact
      • ••• Locked
        Oct 8, 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