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Former SEC-registered adviser

A•••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 293512SEC 801-113287IAPD
Latest filing Jan 29, 2026
First filing on the tape Apr 24, 2018 · 10 filings
SEC status approved since May 24, 2018
RAUM
$4.4M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$4.4M as of Jan 29, 2026
Jan 31, 2019$1.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2026
Jan 31, 20190 then
Employees (5.A)1 as of Jan 29, 2026
Jan 31, 20191 then
Private funds: no history
RAUM +16% over the last fiscal year+3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 2026; 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, 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
+16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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)
  • 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
  • Investment companies$4.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
reported
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
      • A••••• D••••• R••••• · Ceo And Ccocontrol
        since 02/2018 · 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
      • Discretionary RAUM · $3.8M to $4.4M
        Jan 13, 2025 to Jan 29, 2026
      • RAUM · $3.8M to $4.4M
        Jan 13, 2025 to Jan 29, 2026
      • RAUM · $4.2M to $3.8M
        Jan 11, 2024 to Jan 13, 2025
      • Financial planning clients · unset to
        Jan 11, 2024 to Jan 13, 2025
      • Discretionary RAUM · $4.2M to $3.8M
        Jan 11, 2024 to Jan 13, 2025
      • Discretionary RAUM · $4.0M to $4.2M
        Jan 20, 2023 to Jan 11, 2024
      • RAUM · $4.0M to $4.2M
        Jan 20, 2023 to Jan 11, 2024
      • Discretionary RAUM · $4.3M to $4.0M
        Jan 24, 2022 to Jan 20, 2023
      • RAUM · $4.3M to $4.0M
        Jan 24, 2022 to Jan 20, 2023
      • Accounts · 1 to 4
        Jan 14, 2021 to Jan 24, 2022
      • Discretionary RAUM · $2.8M to $4.3M
        Jan 14, 2021 to Jan 24, 2022
      • RAUM · $2.8M to $4.3M
        Jan 14, 2021 to Jan 24, 2022
      • Discretionary RAUM · $1.6M to $2.8M
        Jan 26, 2020 to Jan 14, 2021
      • RAUM · $1.6M to $2.8M
        Jan 26, 2020 to Jan 14, 2021
      • Discretionary RAUM · $1.3M to $1.6M
        Jan 31, 2019 to Jan 26, 2020
      • RAUM · $1.3M to $1.6M
        Jan 31, 2019 to Jan 26, 2020
      • Accounts · unset to 1.0
        Aug 1, 2018 to Jan 31, 2019
      • Discretionary RAUM · unset to 1266770.0
        Aug 1, 2018 to Jan 31, 2019
      • Non-discretionary RAUM · unset to 0.0
        Aug 1, 2018 to Jan 31, 2019
      • RAUM · unset to 1266770.0
        Aug 1, 2018 to Jan 31, 2019
      Signals
      2 dated events
      • A•••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $4.4M)
        Sep 1, 2026 · Left the SEC roster · derived
      • A•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 24, 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