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Former SEC-registered adviser

P•••••• E•••••• L••

Former SEC-registered adviserCRD 282195SEC 801-126373IAPD
Latest filing Jan 11, 2024
First filing on the tape Jul 11, 2022 · 7 filings
RAUM
$7.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$7.3M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$7.3M as of Jan 11, 2024
Jan 27, 2023$7.5M then
HNW client RAUM$3.2M as of Jan 11, 2024
Jan 27, 2023$2.6M then
State-registered IARs (5.B.3)1 as of Jan 11, 2024
Jan 27, 20231 then
Employees (5.A)1 as of Jan 11, 2024
Jan 27, 20231 then
Private funds: no history
RAUM -2.8% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 11, 2024; every figure names its basis
RAUM per advisor
$7.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$164,900derivedRAUM 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
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-2.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • 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
  • Individuals$4.1M56%
  • High-net-worth individuals$3.2M44%
Individual clients
28reported
HNW clients
2reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
44reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • P••••••••• K••••• J•••• · Directorcontrol
        since 12/2015 · owns 50% to 75%
      • D•••••• M••••• L•••••• · Member
        since 12/2015 · owns 10% to 25%
      • M•••••• C••••••••• J•••• · Member
        since 12/2015 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 42 to 44
        Oct 17, 2023 to Jan 11, 2024
      • Discretionary RAUM · $7.5M to $7.3M
        Oct 17, 2023 to Jan 11, 2024
      • HNW RAUM · $2.6M to $3.2M
        Oct 17, 2023 to Jan 11, 2024
      • Individual RAUM · $4.9M to $4.1M
        Oct 17, 2023 to Jan 11, 2024
      • RAUM · $7.5M to $7.3M
        Oct 17, 2023 to Jan 11, 2024
      • Accounts · 51 to 42
        Oct 20, 2022 to Jan 27, 2023
      • Individual clients · 27 to 28
        Oct 20, 2022 to Jan 27, 2023
      • Employees · 3 to 1
        Oct 20, 2022 to Jan 27, 2023
      • Discretionary RAUM · $7.7M to $7.5M
        Oct 20, 2022 to Jan 27, 2023
      • HNW RAUM · $3.5M to $2.6M
        Oct 20, 2022 to Jan 27, 2023
      • Individual RAUM · $4.3M to $4.9M
        Oct 20, 2022 to Jan 27, 2023
      • RAUM · $7.7M to $7.5M
        Oct 20, 2022 to Jan 27, 2023
      • Succession · true to false
        Oct 20, 2022 to Jan 27, 2023
      • Other offices · 0 to 1
        Jul 11, 2022 to Oct 20, 2022
      • Succession · false to true
        Jul 11, 2022 to Oct 20, 2022
      Signals
      2 dated events
      • P•••••• E•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 20, 2022 · Succession (Item 4) · fact
      • P•••••• E•••••• L•• filed its initial SEC registration (Form ADV)
        Jul 11, 2022 · 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