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Former SEC-registered adviser

I••••••••• C•••• R•• L•••••

Former SEC-registered adviserWilmington, DelawareCRD 289308SEC 801-111712IAPD
Latest filing Apr 1, 2025
First filing on the tape Aug 18, 2017 · 23 filings
SEC status approved since Sep 15, 2017
RAUM
$0
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$0 as of Apr 1, 2025
Mar 30, 2023$16,585 then
HNW client RAUM$1,950 as of Mar 29, 2024
Mar 30, 2023$14,859 then
State-registered IARs (5.B.3)0 as of Apr 1, 2025
Jul 26, 20181 then
Employees (5.A)1 as of Apr 1, 2025
Jul 26, 20181 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2025; 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
-100%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • P•••••••• F••••••••• P••• · Managing Member & Chief Compliance Officercontrol
        since 07/2017 · 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 · 16 to 0
        Mar 29, 2024 to Apr 1, 2025
      • Advisory activities · 2 to 1
        Mar 29, 2024 to Apr 1, 2025
      • Corporate clients · 1.0 to unset
        Mar 29, 2024 to Apr 1, 2025
      • HNW clients · 5.0 to unset
        Mar 29, 2024 to Apr 1, 2025
      • Individual clients · 10.0 to unset
        Mar 29, 2024 to Apr 1, 2025
      • Financial planning clients · unset to
        Mar 29, 2024 to Apr 1, 2025
      • Discretionary RAUM · $3,588 to $0
        Mar 29, 2024 to Apr 1, 2025
      • HNW RAUM · 1950.0 to unset
        Mar 29, 2024 to Apr 1, 2025
      • Individual RAUM · 1126.0 to unset
        Mar 29, 2024 to Apr 1, 2025
      • RAUM · $3,588 to $0
        Mar 29, 2024 to Apr 1, 2025
      • Discretionary RAUM · $16,585 to $3,588
        Oct 4, 2023 to Mar 29, 2024
      • HNW RAUM · $14,859 to $1,950
        Oct 4, 2023 to Mar 29, 2024
      • RAUM · $16,585 to $3,588
        Oct 4, 2023 to Mar 29, 2024
      • Accounts · unset to 16.0
        Dec 5, 2022 to Mar 30, 2023
      • Advisory activities · 1 to 2
        Dec 5, 2022 to Mar 30, 2023
      • Corporate clients · unset to 1.0
        Dec 5, 2022 to Mar 30, 2023
      • HNW clients · unset to 5.0
        Dec 5, 2022 to Mar 30, 2023
      • Individual clients · unset to 10.0
        Dec 5, 2022 to Mar 30, 2023
      • Discretionary RAUM · unset to 16585.0
        Dec 5, 2022 to Mar 30, 2023
      • HNW RAUM · unset to 14859.0
        Dec 5, 2022 to Mar 30, 2023
      • Individual RAUM · unset to 1126.0
        Dec 5, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · unset to 0.0
        Dec 5, 2022 to Mar 30, 2023
      • RAUM · unset to 16585.0
        Dec 5, 2022 to Mar 30, 2023
      • HQ city · CHICAGO to WILMINGTON
        Feb 4, 2022 to Feb 28, 2022
      • HQ state · IL to DE
        Feb 4, 2022 to Feb 28, 2022
      • Financial planning clients · 0 to unset
        Jul 26, 2018 to Mar 29, 2019
      • HQ city · BAL HARBOUR to CHICAGO
        Jul 26, 2018 to Mar 29, 2019
      • HQ state · FL to IL
        Jul 26, 2018 to Mar 29, 2019
      • State-registered IARs · 1 to 0
        Jul 26, 2018 to Mar 29, 2019
      • Accounts · 0.0 to unset
        Aug 21, 2017 to Jul 26, 2018
      • Financial planning clients · unset to 0
        Aug 21, 2017 to Jul 26, 2018
      • Other offices · unset to 0.0
        Aug 21, 2017 to Jul 26, 2018
      • Discretionary RAUM · 0.0 to unset
        Aug 21, 2017 to Jul 26, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Aug 21, 2017 to Jul 26, 2018
      • RAUM · 0.0 to unset
        Aug 21, 2017 to Jul 26, 2018
      Signals
      2 dated events
      • I••••••••• C•••• R•• L••••• no longer on the SEC adviser roster (last listed 2026-03-02)
        Apr 1, 2026 · Left the SEC roster · derived
      • I••••••••• C•••• R•• L••••• filed its initial SEC registration (Form ADV)
        Aug 18, 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