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G•• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registeredwebsite

Asset manager (funds and pooled vehicles), reporting $60.9M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$60.9M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
RAUM change, 1 year
+7.1%
Private clients
0.0%
of RAUM
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 6 Feb 2026, RAUM $56.9M to $60.9M (+7.1%) on the Form ADV filed 6 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 290259 · SEC 801-122854 · 7 filingsShow
CRD 290259SEC 801-122854First filing on the tape Nov 11, 2021, latest Feb 6, 2026SEC status approved since Dec 13, 2021IAPD
RAUM
$60.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$60.9M
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
7 filings and snapshots on the tape

RAUM +15% a year over three years · the tape starts Nov 11, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$60.9M as of Feb 6, 2026
Mar 30, 2022$10.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 6, 2026
Mar 30, 20221 then
Employees (5.A)1 as of Feb 6, 2026
Mar 30, 20221 then
Private funds: no history
RAUM +7.1% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$60.9MderivedRAUM 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
$60.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+7.1%derivedbetween 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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% investment companies

The breakdown by client type, and the client counts1 client typesShow
  • Investment companies$60.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; a related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      R••••• L•• J••••New York, NyMar 1, 202413 y1
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J••••• R•••••• L•• · Managing Member/Chief Compliance Officer/Chief Investment Officercontrol
        since 08/2017 · owns 75% or more
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      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
      • Discretionary RAUM · $56.9M to $60.9M
        Feb 26, 2025 to Feb 6, 2026
      • RAUM · $56.9M to $60.9M
        Feb 26, 2025 to Feb 6, 2026
      • Financial planning clients · 0 to 0
        Mar 1, 2024 to Feb 26, 2025
      • HQ city · unset to
        Mar 1, 2024 to Feb 26, 2025
      • HQ state · unset to
        Mar 1, 2024 to Feb 26, 2025
      Full history · 18 changes
      • State-registered IARs · 0 to 1
        Mar 1, 2024 to Feb 26, 2025
      • Discretionary RAUM · $44.7M to $56.9M
        Mar 1, 2024 to Feb 26, 2025
      • RAUM · $44.7M to $56.9M
        Mar 1, 2024 to Feb 26, 2025
      • Discretionary RAUM · $39.9M to $44.7M
        Nov 9, 2023 to Mar 1, 2024
      • RAUM · $39.9M to $44.7M
        Nov 9, 2023 to Mar 1, 2024
      • Related bank · false to true
        Nov 9, 2023 to Mar 1, 2024
      • Financial planning clients · unset to 0
        Mar 30, 2022 to Jan 25, 2023
      • State-registered IARs · 1 to 0
        Mar 30, 2022 to Jan 25, 2023
      • Discretionary RAUM · $10.8M to $39.9M
        Mar 30, 2022 to Jan 25, 2023
      • RAUM · $10.8M to $39.9M
        Mar 30, 2022 to Jan 25, 2023
      • Accounts · 0 to 1
        Nov 11, 2021 to Mar 30, 2022
      • Discretionary RAUM · $0 to $10.8M
        Nov 11, 2021 to Mar 30, 2022
      • RAUM · $0 to $10.8M
        Nov 11, 2021 to Mar 30, 2022
      Signals
      1 dated events
      • ••• Locked
        Nov 11, 2021 · 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.
      How to reach
      public business contact points only, each with its source
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Feb 6, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Feb 6, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      $60.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026