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Former SEC-registered adviser

E•••••••••

Former SEC-registered adviserCape Girardeau, MissouriCRD 288305SEC 801-110426IAPD
Legal name A••••• W•••••••• A••••••• L••
Latest filing Jun 5, 2020
First filing on the tape Apr 10, 2017 · 12 filings
RAUM
$19.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$19.4M as of Feb 5, 2020
Feb 28, 2018$13.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 5, 2020
Feb 28, 20180 then
Employees (5.A)3 as of Feb 5, 2020
Feb 28, 20183 then
Private funds: no history
RAUM +9.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 5, 2020; 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
$19.4MderivedRAUM 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
+9.2%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 investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$19.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      • C•••••••• J•••••••• S•••• · Chief Executive Officercontrol
        since 01/2017 · owns less than 5%
      • C•••••••• M••••••• J••••• · Chief Compliance Officer / Chief Financial Officercontrol
        since 01/2017 · owns less than 5%
      • P•••••••• B•••••••• J••• · Chief Investment Officercontrol
        since 08/2017 · owns less than 5%
      • C•••••••• J•••••••• S•••• · Membercontrol
        since 09/2016 · owns 25% to 50% of B••••••••• L••
      • C•••••••• M••••••• J••••• · Managing Membercontrol
        since 09/2016 · owns 25% to 50% of B••••••••• L••
      • P•••••••• B•••••••• J••• · Membercontrol
        since 09/2017 · owns 25% to 50% of B••••••••• L••
      Entity owners
      • B••••••••• L•• · Managing Member
        direct · owns 50% to 75%
      • E• H••••••• L•• · Member
        direct · owns 10% to 25%
      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
      • HQ city · NEWPORT BEACH to CAPE GIRARDEAU
        Feb 5, 2020 to Jun 5, 2020
      • HQ state · CA to MO
        Feb 5, 2020 to Jun 5, 2020
      • Discretionary RAUM · $17.8M to $19.4M
        Dec 13, 2019 to Feb 5, 2020
      • RAUM · $17.8M to $19.4M
        Dec 13, 2019 to Feb 5, 2020
      • BD registered reps · 3 to 0
        Mar 27, 2019 to Dec 13, 2019
      • Discretionary RAUM · $17.3M to $17.8M
        Jan 11, 2019 to Mar 27, 2019
      • RAUM · $17.3M to $17.8M
        Jan 11, 2019 to Mar 27, 2019
      • HQ city · NEW YORK to NEWPORT BEACH
        Aug 17, 2018 to Jan 4, 2019
      • HQ state · NY to CA
        Aug 17, 2018 to Jan 4, 2019
      • Discretionary RAUM · $8.6M to $17.3M
        Aug 17, 2018 to Jan 4, 2019
      • RAUM · $8.6M to $17.3M
        Aug 17, 2018 to Jan 4, 2019
      • Accounts · 3 to 1
        Feb 28, 2018 to Apr 30, 2018
      • Advisory employees · 3 to 2
        Feb 28, 2018 to Apr 30, 2018
      • Discretionary RAUM · $13.2M to $8.6M
        Feb 28, 2018 to Apr 30, 2018
      • RAUM · $13.2M to $8.6M
        Feb 28, 2018 to Apr 30, 2018
      • Discretionary RAUM · $6.0M to $13.2M
        Oct 20, 2017 to Feb 28, 2018
      • RAUM · $6.0M to $13.2M
        Oct 20, 2017 to Feb 28, 2018
      • Accounts · 0 to 3
        Aug 18, 2017 to Oct 20, 2017
      • Advisory employees · 2 to 3
        Aug 18, 2017 to Oct 20, 2017
      • BD registered reps · 0 to 3
        Aug 18, 2017 to Oct 20, 2017
      • Business name · A••••• W•••••••• A••••••• L•• to E•••••••••
        Aug 18, 2017 to Oct 20, 2017
      • Employees · 2 to 3
        Aug 18, 2017 to Oct 20, 2017
      • Other offices · unset to 0.0
        Aug 18, 2017 to Oct 20, 2017
      • Discretionary RAUM · $0 to $6.0M
        Aug 18, 2017 to Oct 20, 2017
      • RAUM · $0 to $6.0M
        Aug 18, 2017 to Oct 20, 2017
      • Business name · E••••••••• to A••••• W•••••••• A••••••• L••
        Apr 10, 2017 to Aug 18, 2017
      • HQ city · unset to NEW YORK
        Apr 10, 2017 to Aug 18, 2017
      • HQ state · unset to NY
        Apr 10, 2017 to Aug 18, 2017
      Signals
      1 dated events
      • Eventshares filed its initial SEC registration (Form ADV)
        Apr 10, 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