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C••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $4.5M of regulatory assets.

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

Regulatory AUM
$4.5M
Advisors
0
RAUM change, 1 year
-9.7%
Private clients
100%
of RAUM, $4.5M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. -9.7%
    RAUM, one year

    RAUM $4.94M to $4.46M (-9.7%) on the Form ADV filed 30 Mar 2026, while advisors on the filing held at 1.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 290365 · SEC 801-112087 · 14 filingsShow
CRD 290365SEC 801-112087Legal name C•••••• M••••••••• L••First filing on the tape Oct 30, 2017, latest Mar 30, 2026SEC status approved since Nov 28, 2017IAPD
RAUM
$4.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape

RAUM +2.5% a year over three years · the tape starts Oct 30, 2017

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$4.5M as of Mar 30, 2026
Feb 8, 2018$238,530 then
HNW client RAUM$2.7M as of Mar 30, 2026
Feb 8, 2018$138,520 then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Feb 8, 20181 then
Employees (5.A)2 as of Mar 30, 2026
Feb 8, 20181 then
Private funds: no history
RAUM -9.7% over the last fiscal year+2.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • 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
$4.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$383,961derivedHNW RAUM over HNW clients
Average account
$202,734derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
-9.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing

60% high-net-worth individuals, 40% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$2.7M60%
  • Individuals$1.8M40%
Individual clients
15reported
HNW clients
7reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
22reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••••• P•••• · Chief Marketing Officer/Managing Membercontrol
        since 06/2018 · owns 50% to 75%
      • P•••••••• P••••• I•••••• · Chief Compliance Officer/Chief Executive Officer/Managing Membercontrol
        since 08/2017 · owns 50% to 75%
      Ownership changes
      1 Schedule A change between consecutive filings, latest first
      • Added P•••• P••••••• · Chief Marketing Officer/Managing Member control
        filing of Jun 6, 2018, against Feb 8, 2018 · owns 50 to 75%
      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 · $4.9M to $4.5M
        Mar 31, 2025 to Mar 30, 2026
      • HNW RAUM · $3.0M to $2.7M
        Mar 31, 2025 to Mar 30, 2026
      • Individual RAUM · $2.0M to $1.8M
        Mar 31, 2025 to Mar 30, 2026
      • RAUM · $4.9M to $4.5M
        Mar 31, 2025 to Mar 30, 2026
      • Accounts · 27 to 22
        Mar 27, 2024 to Mar 31, 2025
      Full history · 62 changes
      • Financial planning clients · 0 to 0
        Mar 27, 2024 to Mar 31, 2025
      • HQ city · unset to
        Mar 27, 2024 to Mar 31, 2025
      • HQ state · unset to
        Mar 27, 2024 to Mar 31, 2025
      • Discretionary RAUM · $4.7M to $4.9M
        Mar 27, 2024 to Mar 31, 2025
      • HNW RAUM · $2.8M to $3.0M
        Mar 27, 2024 to Mar 31, 2025
      • Individual RAUM · $1.9M to $2.0M
        Mar 27, 2024 to Mar 31, 2025
      • RAUM · $4.7M to $4.9M
        Mar 27, 2024 to Mar 31, 2025
      • Accounts · 26 to 27
        Mar 23, 2023 to Mar 27, 2024
      • Individual clients · 19 to 15
        Mar 23, 2023 to Mar 27, 2024
      • Discretionary RAUM · $4.1M to $4.7M
        Mar 23, 2023 to Mar 27, 2024
      • HNW RAUM · $2.5M to $2.8M
        Mar 23, 2023 to Mar 27, 2024
      • Individual RAUM · $1.6M to $1.9M
        Mar 23, 2023 to Mar 27, 2024
      • RAUM · $4.1M to $4.7M
        Mar 23, 2023 to Mar 27, 2024
      • Accounts · 35 to 26
        Mar 24, 2022 to Mar 23, 2023
      • Discretionary RAUM · $5.4M to $4.1M
        Mar 24, 2022 to Mar 23, 2023
      • HNW RAUM · $3.3M to $2.5M
        Mar 24, 2022 to Mar 23, 2023
      • Individual RAUM · $2.1M to $1.6M
        Mar 24, 2022 to Mar 23, 2023
      • RAUM · $5.4M to $4.1M
        Mar 24, 2022 to Mar 23, 2023
      • Accounts · 29 to 35
        Mar 30, 2021 to Mar 24, 2022
      • Corporate clients · 1 to 0
        Mar 30, 2021 to Mar 24, 2022
      • HNW clients · 10 to 7
        Mar 30, 2021 to Mar 24, 2022
      • Individual clients · 14 to 19
        Mar 30, 2021 to Mar 24, 2022
      • Discretionary RAUM · $4.4M to $5.4M
        Mar 30, 2021 to Mar 24, 2022
      • HNW RAUM · $3.2M to $3.3M
        Mar 30, 2021 to Mar 24, 2022
      • Individual RAUM · $961,715 to $2.1M
        Mar 30, 2021 to Mar 24, 2022
      • RAUM · $4.4M to $5.4M
        Mar 30, 2021 to Mar 24, 2022
      • Corporate clients · 0 to 1
        Jun 26, 2020 to Mar 30, 2021
      • HNW clients · 14 to 10
        Jun 26, 2020 to Mar 30, 2021
      • Discretionary RAUM · $3.9M to $4.4M
        Jun 26, 2020 to Mar 30, 2021
      • HNW RAUM · $2.9M to $3.2M
        Jun 26, 2020 to Mar 30, 2021
      • Individual RAUM · $886,952 to $961,715
        Jun 26, 2020 to Mar 30, 2021
      • RAUM · $3.9M to $4.4M
        Jun 26, 2020 to Mar 30, 2021
      • Accounts · 24 to 29
        Sep 16, 2019 to Mar 24, 2020
      • HNW clients · 12 to 14
        Sep 16, 2019 to Mar 24, 2020
      • Individual clients · 11 to 14
        Sep 16, 2019 to Mar 24, 2020
      • Financial planning clients · unset to 0
        Sep 16, 2019 to Mar 24, 2020
      • Discretionary RAUM · $2.2M to $3.9M
        Sep 16, 2019 to Mar 24, 2020
      • HNW RAUM · $1.9M to $2.9M
        Sep 16, 2019 to Mar 24, 2020
      • Individual RAUM · $293,401 to $886,952
        Sep 16, 2019 to Mar 24, 2020
      • RAUM · $2.2M to $3.9M
        Sep 16, 2019 to Mar 24, 2020
      • Accounts · 7 to 24
        Jun 6, 2018 to Mar 6, 2019
      • HNW clients · unset to 12.0
        Jun 6, 2018 to Mar 6, 2019
      • Individual clients · 5 to 11
        Jun 6, 2018 to Mar 6, 2019
      • Employees · 1 to 2
        Jun 6, 2018 to Mar 6, 2019
      • Discretionary RAUM · $238,530 to $2.2M
        Jun 6, 2018 to Mar 6, 2019
      • HNW RAUM · $138,520 to $1.9M
        Jun 6, 2018 to Mar 6, 2019
      • Individual RAUM · $34,949 to $293,401
        Jun 6, 2018 to Mar 6, 2019
      • RAUM · $238,530 to $2.2M
        Jun 6, 2018 to Mar 6, 2019
      • Accounts · 0 to 7
        Jan 2, 2018 to Feb 8, 2018
      • Individual clients · unset to 5.0
        Jan 2, 2018 to Feb 8, 2018
      • Financial planning clients · 0 to unset
        Jan 2, 2018 to Feb 8, 2018
      • State-registered IARs · 0 to 1
        Jan 2, 2018 to Feb 8, 2018
      • Discretionary RAUM · $0 to $238,530
        Jan 2, 2018 to Feb 8, 2018
      • HNW RAUM · $0 to $138,520
        Jan 2, 2018 to Feb 8, 2018
      • Individual RAUM · $0 to $34,949
        Jan 2, 2018 to Feb 8, 2018
      • RAUM · $0 to $238,530
        Jan 2, 2018 to Feb 8, 2018
      • Financial planning clients · unset to 0
        Oct 30, 2017 to Jan 2, 2018
      Signals
      1 dated events
      • ••• Locked
        Oct 30, 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.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (1) · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.