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Former SEC-registered adviser

N•• W••• C••••••• L••

Former SEC-registered adviserCRD 296975SEC 801-113670IAPD
Latest filing Mar 31, 2019
First filing on the tape Jun 22, 2018 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$0 as of Oct 16, 2018
Jun 22, 2018$0 then
HNW client RAUM$0 as of Oct 16, 2018
Jun 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2019
Jun 22, 20180 then
Employees (5.A)3 as of Mar 31, 2019
Jun 22, 20183 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2019; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
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
      • C•••••••• E••• · Chief Executive Officer & Chief Compliance Officercontrol
        since 04/2018 · owns less than 5%
      • C••••• A••••• · Chief Product Officercontrol
        since 04/2018 · owns less than 5%
      • H•••••• S•••••• · Chief Operating Officercontrol
        since 04/2018 · owns less than 5%
      • C•••••••• E••• · Shareholdercontrol
        since 03/2017 · owns 25% to 50% of F••• A••••••••• I•••
      Entity owners
      • F••• A••••••••• I••• · Member
        direct · 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
      • Accounts · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • Advisory activities · 3 to 1
        Oct 16, 2018 to Mar 31, 2019
      • Pooled vehicle clients · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • Assets in custody · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • Custody of client assets · true to false
        Oct 16, 2018 to Mar 31, 2019
      • Discretionary RAUM · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • HNW RAUM · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • Individual RAUM · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • Pension RAUM · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • RAUM · 0.0 to unset
        Oct 16, 2018 to Mar 31, 2019
      • HQ city · SAN FRANCISCO to unset
        Aug 7, 2018 to Aug 21, 2018
      • HQ state · CA to unset
        Aug 7, 2018 to Aug 21, 2018
      Signals
      1 dated events
      • N•• W••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 22, 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