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C•••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $2.5M of regulatory assets.

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

As of 2023-02-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $2.5M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +12%
Private clients: 100% of RAUM, $2.5M

Advisors Advisor movement Where the RAUM sits

As of 2023-02-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 13 Form ADV filings for this adviser, the latest 3.6 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 294056 · SEC 801-113964 · 13 filingsShow

CRD 294056SEC 801-113964First filing on the tape Aug 10, 2018, latest Feb 17, 2023IAPD

RAUM

$2.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$2.5M 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

13 filings and snapshots on the tape

RAUM$2.5M as of Feb 17, 2023

Mar 4, 2019$2,068 then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Feb 17, 2023

Mar 4, 20191 then

Employees (5.A)2 as of Feb 17, 2023

Mar 4, 20193 then

Private funds: no history

RAUM +12% over the last fiscal year+79% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 17, 2023; every figure names its basis

RAUM per advisor: $2.5MderivedRAUM 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: $655derivedRAUM 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: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +12%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 individualsreportedItem 5.G
Wrap fee program: $2.5MreportedItem 5.I
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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$2.5M100%

Individual clients: 3,773reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3,807reported
Financial planning clients: n/areported
Wrap fee programs: $0 sponsored, $0 managedreported
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

A••••••••• A•••••• J•••• · Managing Member/Presidentcontrol
since 07/2018 · owns less than 5%
A•••••••• K•••••• · Vice President/Chief Operations Officercontrol
since 07/2018 · owns less than 5%

Entity owners

C•••• F••••••••• I••• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

C•••• I•••••••• L••
real estaten

Offices

Schedule D 1.F, the 25 largest

Boston, MA1 employees

What changed

consecutive filings, newest first

Accounts · 1,541 to 3,807
May 6, 2022 to Feb 17, 2023
Individual clients · 1,541 to 3,773
May 6, 2022 to Feb 17, 2023
Discretionary RAUM · $2.2M to $2.5M
May 6, 2022 to Feb 17, 2023
Individual RAUM · $2.2M to $2.5M
May 6, 2022 to Feb 17, 2023
RAUM · $2.2M to $2.5M
May 6, 2022 to Feb 17, 2023
Accounts · 1,191 to 1,541
Dec 2, 2021 to Feb 11, 2022
Advisory employees · 2 to 1
Dec 2, 2021 to Feb 11, 2022
Individual clients · 1,191 to 1,541
Dec 2, 2021 to Feb 11, 2022
Employees · 3 to 2
Dec 2, 2021 to Feb 11, 2022
State-registered IARs · 2 to 1
Dec 2, 2021 to Feb 11, 2022
Discretionary RAUM · $1.4M to $2.2M
Dec 2, 2021 to Feb 11, 2022
Individual RAUM · $1.4M to $2.2M
Dec 2, 2021 to Feb 11, 2022
RAUM · $1.4M to $2.2M
Dec 2, 2021 to Feb 11, 2022
HQ city · BOSTON to NEW YORK
Mar 23, 2021 to Dec 2, 2021
HQ state · MA to NY
Mar 23, 2021 to Dec 2, 2021
Other offices · 0 to 1
Mar 23, 2021 to Dec 2, 2021
Accounts · 1,304 to 1,191
Feb 11, 2021 to Mar 23, 2021
Advisory employees · 1 to 2
Feb 11, 2021 to Mar 23, 2021
Individual clients · 1,304 to 1,191
Feb 11, 2021 to Mar 23, 2021
State-registered IARs · 1 to 2
Feb 11, 2021 to Mar 23, 2021
Discretionary RAUM · $435,906 to $1.4M
Feb 11, 2021 to Mar 23, 2021
Individual RAUM · $435,906 to $1.4M
Feb 11, 2021 to Mar 23, 2021
RAUM · $435,906 to $1.4M
Feb 11, 2021 to Mar 23, 2021
Accounts · 266 to 1,304
Jun 6, 2019 to Mar 3, 2020
Individual clients · 266 to 1,304
Jun 6, 2019 to Mar 3, 2020
Discretionary RAUM · $2,068 to $435,906
Jun 6, 2019 to Mar 3, 2020
Individual RAUM · $2,068 to $435,906
Jun 6, 2019 to Mar 3, 2020
RAUM · $2,068 to $435,906
Jun 6, 2019 to Mar 3, 2020
HQ city · CAMBRIDGE to BOSTON
Mar 4, 2019 to Jun 6, 2019
Accounts · 0 to 266
Sep 25, 2018 to Mar 4, 2019
Individual clients · unset to 266.0
Sep 25, 2018 to Mar 4, 2019
Employees · 5 to 3
Sep 25, 2018 to Mar 4, 2019
Financial planning clients · 0 to unset
Sep 25, 2018 to Mar 4, 2019
Discretionary RAUM · $0 to $2,068
Sep 25, 2018 to Mar 4, 2019
Individual RAUM · unset to 2068.0
Sep 25, 2018 to Mar 4, 2019
RAUM · $0 to $2,068
Sep 25, 2018 to Mar 4, 2019
Business name · R•• D•••• I•• to C•••• C•••••• M••••••••• L••
Aug 10, 2018 to Sep 25, 2018
Legal name · R•• D•••• I•• to C•••• C•••••• M••••••••• L••
Aug 10, 2018 to Sep 25, 2018

Signals

4 dated events

••• Locked
Feb 11, 2022 · Control person left · inference
••• Locked
Mar 23, 2021 · Control person joined · fact
••• Locked
Mar 3, 2020 · Control person left · inference
••• Locked
Aug 10, 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