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Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $26.0M of regulatory assets.

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

Last reported RAUM
$26.0M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-14%
Form ADV, consecutive annual filings
Private clients
30% of RAUM, $7.9M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 10 Form ADV filings for this adviser, the latest 4.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 288806 · SEC 801-113489 · 10 filingsShow
CRD 288806SEC 801-113489First filing on the tape Jul 17, 2017, latest Mar 25, 2022IAPD
RAUM
$26.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
30%
$7.9M 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
10 filings and snapshots on the tape
RAUM$26.0M as of Mar 25, 2022
Mar 29, 2019$28.1M then
HNW client RAUM$7.2M as of Mar 25, 2022
Mar 29, 2019$1.9M then
State-registered IARs (5.B.3)0 as of Mar 25, 2022
Mar 29, 20190 then
Employees (5.A)2 as of Mar 25, 2022
Mar 29, 20195 then
Private funds: no history
RAUM -14% over the last fiscal year-2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2022; 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
$894,844derivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM 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
-14%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • Pooled investment vehicles$18.1M70%
  • High-net-worth individuals$7.2M27%
  • Individuals$778,8063.0%
Individual clients
5reported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
21reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• F••••• · Chief Compliance Officer/Partnercontrol
        since 02/2017 · owns 25% to 50%
      • P•••••• M•••••• · Partnercontrol
        since 02/2017 · owns 25% to 50%
      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 · 7 to 21
        Mar 18, 2021 to Mar 25, 2022
      • HNW clients · unset to 8.0
        Mar 18, 2021 to Mar 25, 2022
      • Individual clients · unset to 5.0
        Mar 18, 2021 to Mar 25, 2022
      • Discretionary RAUM · $30.2M to $26.0M
        Mar 18, 2021 to Mar 25, 2022
      • HNW RAUM · $3.7M to $7.2M
        Mar 18, 2021 to Mar 25, 2022
      • Individual RAUM · $715,202 to $778,806
        Mar 18, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $25.8M to $18.1M
        Mar 18, 2021 to Mar 25, 2022
      • RAUM · $30.2M to $26.0M
        Mar 18, 2021 to Mar 25, 2022
      • Accounts · 6 to 7
        Oct 27, 2020 to Mar 18, 2021
      • Discretionary RAUM · $29.9M to $30.2M
        Oct 27, 2020 to Mar 18, 2021
      • HNW RAUM · $2.5M to $3.7M
        Oct 27, 2020 to Mar 18, 2021
      • Individual RAUM · unset to 715202.0
        Oct 27, 2020 to Mar 18, 2021
      • Pooled vehicle RAUM · $27.4M to $25.8M
        Oct 27, 2020 to Mar 18, 2021
      • RAUM · $29.9M to $30.2M
        Oct 27, 2020 to Mar 18, 2021
      • Accounts · 7 to 6
        Oct 17, 2019 to Mar 23, 2020
      • Employees · 3 to 2
        Oct 17, 2019 to Mar 23, 2020
      • Discretionary RAUM · $28.1M to $29.9M
        Oct 17, 2019 to Mar 23, 2020
      • HNW RAUM · $1.9M to $2.5M
        Oct 17, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $26.1M to $27.4M
        Oct 17, 2019 to Mar 23, 2020
      • RAUM · $28.1M to $29.9M
        Oct 17, 2019 to Mar 23, 2020
      • Employees · 5 to 3
        May 7, 2019 to Oct 17, 2019
      • Accounts · 6 to 7
        May 24, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 2.0
        May 24, 2018 to Mar 29, 2019
      • Employees · 4 to 5
        May 24, 2018 to Mar 29, 2019
      • Discretionary RAUM · $28.0M to $28.1M
        May 24, 2018 to Mar 29, 2019
      • HNW RAUM · $1.1M to $1.9M
        May 24, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · unset to 26126575.0
        May 24, 2018 to Mar 29, 2019
      • RAUM · $28.0M to $28.1M
        May 24, 2018 to Mar 29, 2019
      • Accounts · 4 to 6
        Jul 17, 2017 to May 24, 2018
      • Advisory activities · 1 to 2
        Jul 17, 2017 to May 24, 2018
      • Other offices · unset to 0.0
        Jul 17, 2017 to May 24, 2018
      • Discretionary RAUM · $6.0M to $28.0M
        Jul 17, 2017 to May 24, 2018
      • HNW RAUM · unset to 1120000.0
        Jul 17, 2017 to May 24, 2018
      • RAUM · $6.0M to $28.0M
        Jul 17, 2017 to May 24, 2018
      Signals
      3 dated events
      • ••• Locked
        Oct 17, 2019 · Control person left · inference
      • ••• Locked
        Oct 17, 2019 · Control person left · inference
      • ••• Locked
        Jul 17, 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