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W••••• C••••••••• S••••••• L••

Former SEC-registered adviserFormer SEC adviser· Lugano

Former SEC-registered adviser, based in Lugano.

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

As of 2019-02-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: Not applicable
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: Not established

Advisors Advisor movement Where the RAUM sits

As of 2019-02-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 7.7 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 289416 · SEC 801-111825 · 3 filingsShow

CRD 289416SEC 801-111825First filing on the tape Sep 8, 2017, latest Feb 8, 2019IAPD

RAUM

n/a

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

RAUM: $0

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Feb 8, 2019

Jan 31, 20181 then

Employees (5.A)3 as of Feb 8, 2019

Jan 31, 20183 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Feb 8, 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 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 institutionsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

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: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: n/areported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F••••• P•••• J•••• · Secretarycontrol
since 12/2015 · owns 25% to 50%
P••••• D•••••••• J••• · Chief C••••••••• Officer And Managing Membercontrol
since 12/2015 · owns 25% to 50%
T•••••••• B•••• · Vice Presidentcontrol
since 12/2015 · owns 25% to 50%

Related persons

Schedule D 7.A

B•••• T•••••••
investment companyn
D••••••• J• P••••
n

Offices

Schedule D 1.F, the 25 largest

New York, NY1 employees

What changed

consecutive filings, newest first

Accounts · 0.0 to unset
Jan 31, 2018 to Feb 8, 2019
Discretionary RAUM · 0.0 to unset
Jan 31, 2018 to Feb 8, 2019
Non-discretionary RAUM · 0.0 to unset
Jan 31, 2018 to Feb 8, 2019
RAUM · 0.0 to unset
Jan 31, 2018 to Feb 8, 2019
Accounts · unset to 0.0
Sep 8, 2017 to Jan 31, 2018
BD registered reps · 0 to 1
Sep 8, 2017 to Jan 31, 2018
Charity clients · unset to 0.0
Sep 8, 2017 to Jan 31, 2018
Corporate clients · unset to 0.0
Sep 8, 2017 to Jan 31, 2018
HNW clients · unset to 0.0
Sep 8, 2017 to Jan 31, 2018
Individual clients · unset to 0.0
Sep 8, 2017 to Jan 31, 2018
Pension plan clients · unset to 0.0
Sep 8, 2017 to Jan 31, 2018
Pooled vehicle clients · unset to 0.0
Sep 8, 2017 to Jan 31, 2018
Financial planning clients · 0 to unset
Sep 8, 2017 to Jan 31, 2018
Other offices · unset to 1.0
Sep 8, 2017 to Jan 31, 2018
Discretionary RAUM · unset to 0.0
Sep 8, 2017 to Jan 31, 2018
Non-discretionary RAUM · unset to 0.0
Sep 8, 2017 to Jan 31, 2018
RAUM · unset to 0.0
Sep 8, 2017 to Jan 31, 2018

Signals

1 dated events

••• Locked
Sep 8, 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