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Former SEC-registered adviser

S••• F•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 291199SEC 801-112646IAPD
Latest filing Jul 1, 2020
First filing on the tape Feb 15, 2018 · 8 filings
RAUM
$24.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$24.7M as of Mar 27, 2020
Mar 28, 2019$8.3M then
HNW client RAUM$0 as of Mar 27, 2020
Mar 28, 2019$0 then
State-registered IARs (5.B.3)1 as of Mar 27, 2020
Mar 28, 20191 then
Employees (5.A)5 as of Mar 27, 2020
Mar 28, 20195 then
Private funds: no history
Practice profile
derived from the filing of Jul 1, 2020; every figure names its basis
RAUM per advisor
$24.7MderivedRAUM 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
$12.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+199%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 assets, otherreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • Investment companies$24.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• A••••••• R••••• · President And Co-Foundercontrol
        since 10/2017 · owns 50% to 75%
      • E•••••••• A••••• · President And Chief Operating Officer, Co-Foundercontrol
        since 10/2017 · owns 50% to 75%
      • C••••••• R••••••• D••••• · Chief Compliance Officer
        since 06/2018 · owns less than 5%
      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 · 1 to 2
        Aug 7, 2019 to Mar 27, 2020
      • Other offices · 1 to 0
        Aug 7, 2019 to Mar 27, 2020
      • Discretionary RAUM · $8.3M to $24.7M
        Aug 7, 2019 to Mar 27, 2020
      • RAUM · $8.3M to $24.7M
        Aug 7, 2019 to Mar 27, 2020
      • Accounts · 0 to 1
        Nov 15, 2018 to Mar 28, 2019
      • Advisory employees · 2 to 3
        Nov 15, 2018 to Mar 28, 2019
      • BD registered reps · 0 to 1
        Nov 15, 2018 to Mar 28, 2019
      • Employees · 4 to 5
        Nov 15, 2018 to Mar 28, 2019
      • State-registered IARs · 0 to 1
        Nov 15, 2018 to Mar 28, 2019
      • Discretionary RAUM · $0 to $8.3M
        Nov 15, 2018 to Mar 28, 2019
      • RAUM · $0 to $8.3M
        Nov 15, 2018 to Mar 28, 2019
      • Employees · 2 to 4
        Mar 6, 2018 to Jun 20, 2018
      Signals
      1 dated events
      • S••• F•••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 15, 2018 · 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