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Former SEC-registered adviser

1••• V•••• A••••••• L••

Former SEC-registered adviserMahwah, New JerseyCRD 286278SEC 801-110102IAPD
Latest filing Oct 22, 2019
First filing on the tape Feb 28, 2017 · 6 filings
RAUM
$27.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
35%
$9.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$27.7M as of Mar 15, 2019
Mar 16, 2018$34.0M then
HNW client RAUM$9.2M as of Mar 15, 2019
Mar 16, 2018$34.0M then
State-registered IARs (5.B.3)0 as of Mar 15, 2019
Mar 16, 20180 then
Employees (5.A)2 as of Mar 15, 2019
Mar 16, 20182 then
Private funds: no history
RAUM -18% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 22, 2019; 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
$5.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
59%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
-18%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$16.5M59%
  • High-net-worth individuals$9.2M33%
  • Other investment advisers$1.6M5.9%
  • Individuals$415,4561.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
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
      • G•••••••• J•••• J•••• · Chief Compliance Officercontrol
        since 08/2014 · owns less than 5%
      • H•••••• M••••••• T••••• · Chief Investment Officer, Managing Membercontrol
        since 08/2014 · 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
      • Accounts · 3 to 5
        Mar 16, 2018 to Mar 15, 2019
      • Discretionary RAUM · $34.0M to $27.7M
        Mar 16, 2018 to Mar 15, 2019
      • HNW RAUM · $34.0M to $9.2M
        Mar 16, 2018 to Mar 15, 2019
      • Individual RAUM · unset to 415456.0
        Mar 16, 2018 to Mar 15, 2019
      • RAUM · $34.0M to $27.7M
        Mar 16, 2018 to Mar 15, 2019
      • Accounts · 2 to 3
        Sep 12, 2017 to Mar 16, 2018
      • BD registered reps · 0 to 1
        Sep 12, 2017 to Mar 16, 2018
      • Financial planning clients · unset to 0
        Sep 12, 2017 to Mar 16, 2018
      • Other offices · unset to 0.0
        Sep 12, 2017 to Mar 16, 2018
      • Discretionary RAUM · $27.2M to $34.0M
        Sep 12, 2017 to Mar 16, 2018
      • HNW RAUM · unset to 33950714.0
        Sep 12, 2017 to Mar 16, 2018
      • RAUM · $27.2M to $34.0M
        Sep 12, 2017 to Mar 16, 2018
      • Legal name · H•••••, M•••••• T••••• to 1••• V•••• A••••••• L••
        Feb 28, 2017 to Apr 20, 2017
      Signals
      1 dated events
      • 1••• V•••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 28, 2017 · 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