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A••••••••• A•••• M••••••••• L•••

Former SEC-registered adviserFormer SEC adviser· Central

Former SEC-registered adviser, based in Central, reporting $1.9B of regulatory assets.

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

Last reported RAUM
$1.9B
Form ADV
Private clients
0.0%
of RAUM
Form ADV
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

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 298649 · SEC 801-114468 · 3 filingsShow
CRD 298649SEC 801-114468First filing on the tape Nov 20, 2018, latest Mar 30, 2020IAPD
RAUM
$1.9B
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
Not computed
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape

Filed figures over time · the tape starts Nov 20, 2018

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: $1.9B
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20190 then
Employees (5.A)4 as of Mar 30, 2020
Mar 28, 20193 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$953MderivedRAUM 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
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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.9B, 2 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$1.9B100%
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
$1.9B for 2 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      • A••• C•••• S• L• · Chief Compliance Officercontrol
        since 11/2018 · owns less than 5%
      • L••• J•• · Chief Investment Officer And Directorcontrol
        since 11/2018 · owns less than 5%
      • L••• J•• · Trusteecontrol
        since 11/2018 · owns F of A• H••••••• I••••••••• T••••
      Entity owners
      • A••••••••• H••••••• L•••••• · Shareholder
        direct · owns 75% or more
      • A• H••••••• I••••••••• T•••• · Trust
        indirect · owns 75% or more of A••••••••• H••••••• L••••••
      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 · unset to 2.0
        Mar 28, 2019 to Mar 30, 2020
      • Advisory employees · 2 to 3
        Mar 28, 2019 to Mar 30, 2020
      • Advisory activities · 2 to 1
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle clients · unset to 2.0
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · unset to 1905438898.0
        Mar 28, 2019 to Mar 30, 2020
      Full history · 11 changes
      • Custody of client assets · false to true
        Mar 28, 2019 to Mar 30, 2020
      • Employees · 3 to 4
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · unset to 1905438898.0
        Mar 28, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · unset to 0.0
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · unset to 1905438898.0
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · unset to 1905438898.0
        Mar 28, 2019 to Mar 30, 2020
      Signals
      2 dated events
      • ••• Locked
        Mar 30, 2020 · Control person left · inference
      • ••• Locked
        Nov 20, 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
      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
      Former SEC-registered adviserderiveda 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