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Former SEC-registered adviser

F•••••••• A••••••• L••

Former SEC-registered adviserFlushing, New YorkCRD 282937SEC 801-112378IAPD
Latest filing Aug 8, 2018
First filing on the tape Mar 17, 2016 · 14 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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 8, 2018
Mar 17, 20160 then
Employees (5.A)3 as of Aug 8, 2018
Mar 17, 20163 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 8, 2018; 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••• J••• · Chief Executive Officercontrol
    since 03/2016 · owns less than 5%
  • M•••• D•••• · Chief Compliance Officercontrol
    since 04/2016 · owns less than 5%
  • L••• J••• · Shareholdercontrol
    since 08/2017 · owns 50% to 75% of F•••••••• H•••••• C•••••••••
Entity owners
  • F•••••••• H•••••• C••••••••• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 1 to 2
    Jan 25, 2017 to Jan 2, 2018
  • HNW clients · unset to 0.0
    Jan 25, 2017 to Jan 2, 2018
  • Individual clients · unset to 0.0
    Jan 25, 2017 to Jan 2, 2018
  • Other offices · unset to 0.0
    Jan 25, 2017 to Jan 2, 2018
  • Wrap assets (manager) · unset to 0.0
    Jan 25, 2017 to Jan 2, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Jan 25, 2017 to Jan 2, 2018
  • Advisory activities · 2 to 1
    Jun 23, 2016 to Nov 22, 2016
Signals
1 dated events
  • F•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
    Mar 17, 2016 · 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