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Former SEC-registered adviserFormer SEC adviser· Mosciano Sant'Angelo (Te)

Former SEC-registered adviser, based in Mosciano Sant'Angelo (Te), reporting $559,090 of regulatory assets.

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

Last reported RAUM
$559,090
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-88%
Form ADV, consecutive annual filings
Private clients
93% of RAUM, $518,652
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 287658 · SEC 801-110256 · 5 filingsShow
CRD 287658SEC 801-110256First filing on the tape Mar 23, 2017, latest Mar 21, 2019IAPD
RAUM
$559,090
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$518,652 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
5 filings and snapshots on the tape
RAUM$559,090 as of Mar 21, 2019
Mar 29, 2018$4.7M then
HNW client RAUM$0 as of Mar 21, 2019
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 21, 2019
Mar 29, 20180 then
Employees (5.A)1 as of Mar 21, 2019
Mar 29, 20181 then
Private funds: 2
RAUM -88% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 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
$93,182derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-88%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-50%derived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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
  • Individuals$518,65293%
  • Corporations and businesses$40,4387.2%
Individual clients
4reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••••••• M••••••••• F••••• L•• B•••••••• I•••••••• F••• S•••••Hedge Fund$3.0M1Mar 6, 2017
      B•••••••• M••••••••• F••••• L•• B•••••••• V• T•••• F••• S•••••Hedge Fund$2.0M1Mar 6, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• A••••••••• · Director/Chief Compliance Officercontrol
        since 02/2013 · owns 50% to 75%
      • C•••••••• F•••••••• · Shareholder
        since 02/2013 · owns 10% to 25%
      • D••••••• S••••• · Shareholder
        since 02/2013 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C•••• C•••••• P••••••• S•••• P••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 6
        Mar 29, 2018 to Mar 21, 2019
      • Individual clients · 8 to 4
        Mar 29, 2018 to Mar 21, 2019
      • Pooled vehicle clients · 3 to 0
        Mar 29, 2018 to Mar 21, 2019
      • Private funds · 2 to unset
        Mar 29, 2018 to Mar 21, 2019
      • Discretionary RAUM · $4.7M to $559,090
        Mar 29, 2018 to Mar 21, 2019
      • Individual RAUM · $1.7M to $518,652
        Mar 29, 2018 to Mar 21, 2019
      • Pooled vehicle RAUM · $2.5M to $0
        Mar 29, 2018 to Mar 21, 2019
      • RAUM · $4.7M to $559,090
        Mar 29, 2018 to Mar 21, 2019
      • Related adviser · false to true
        Mar 29, 2018 to Mar 21, 2019
      • Accounts · 9 to 12
        Sep 1, 2017 to Mar 29, 2018
      • Advisory activities · 3 to 4
        Sep 1, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Sep 1, 2017 to Mar 29, 2018
      • Corporate clients · unset to 1.0
        Sep 1, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Sep 1, 2017 to Mar 29, 2018
      • Individual clients · unset to 8.0
        Sep 1, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Sep 1, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Sep 1, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Sep 1, 2017 to Mar 29, 2018
      • Private funds · unset to 2
        Sep 1, 2017 to Mar 29, 2018
      • Discretionary RAUM · $3.8M to $4.7M
        Sep 1, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Sep 1, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 1730000.0
        Sep 1, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Sep 1, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2500000.0
        Sep 1, 2017 to Mar 29, 2018
      • RAUM · $3.8M to $4.7M
        Sep 1, 2017 to Mar 29, 2018
      • Accounts · 5 to 9
        Apr 3, 2017 to Sep 1, 2017
      • HQ city · unset to MOSCIANO SANT'ANGELO (TE)
        Apr 3, 2017 to Sep 1, 2017
      • Discretionary RAUM · $870,000 to $3.8M
        Apr 3, 2017 to Sep 1, 2017
      • RAUM · $870,000 to $3.8M
        Apr 3, 2017 to Sep 1, 2017
      Signals
      1 dated events
      • ••• Locked
        Mar 23, 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