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Former SEC-registered adviser

F••••••• C•••••• M••••••••• L••

Former SEC-registered adviserFair Haven, New JerseyCRD 298910SEC 801-114195IAPD
Latest filing Mar 30, 2022
First filing on the tape Sep 26, 2018 · 11 filings
RAUM
$4.2M
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
8
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$4.2M as of Mar 30, 2022
Jan 3, 2019$31.1M then
HNW client RAUM$0 as of Mar 30, 2022
Jan 3, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Jan 3, 20191 then
Employees (5.A)8 as of Mar 30, 2022
Jan 3, 201910 then
Private funds: no history
RAUM +45% over the last fiscal year-49% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 30, 2022; 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
$4.2MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+45%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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$4.2M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
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
      • A•••••• J••• D••••• · Co-Presidentcontrol
        since 08/2018 · owns less than 5%
      • B••••••• E•••• M•••••••• · Chairmancontrol
        since 08/2018 · owns less than 5%
      • B••••••• M••• J••••• · Managing Director, Sales And Marketingcontrol
        since 08/2018 · owns less than 5%
      • B••••• K••••• M•••••• · Managing Director And Chief Investment Officercontrol
        since 10/2018 · owns less than 5%
      • D••• R••• · Co-Presidentcontrol
        since 08/2018 · owns less than 5%
      • G••••••• T••• · Chief Financial Officercontrol
        since 08/2018 · owns less than 5%
      • Q••••• M••••••• K•••• · Chief Compliance Officercontrol
        since 09/2019 · owns less than 5%
      • B••••••• E•••• M•••••••• · General Partnercontrol
        since 07/2014 · owns 75% or more of B••••••• L•
      Entity owners
      • B••••••• L• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • M••••• F••• A••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Glendora, CA1 employees
      What changed
      consecutive filings, newest first
      • BD registered reps · 1 to 0
        Aug 10, 2021 to Mar 30, 2022
      • State-registered IARs · 1 to 0
        Aug 10, 2021 to Mar 30, 2022
      • Discretionary RAUM · $2.9M to $4.2M
        Aug 10, 2021 to Mar 30, 2022
      • RAUM · $2.9M to $4.2M
        Aug 10, 2021 to Mar 30, 2022
      • Accounts · 2 to 1
        Mar 28, 2020 to Mar 30, 2021
      • Discretionary RAUM · $26.7M to $2.9M
        Mar 28, 2020 to Mar 30, 2021
      • RAUM · $26.7M to $2.9M
        Mar 28, 2020 to Mar 30, 2021
      • Advisory employees · 2 to 1
        Sep 16, 2019 to Mar 28, 2020
      • Employees · 9 to 8
        Sep 16, 2019 to Mar 28, 2020
      • Discretionary RAUM · $31.3M to $26.7M
        Sep 16, 2019 to Mar 28, 2020
      • RAUM · $31.3M to $26.7M
        Sep 16, 2019 to Mar 28, 2020
      • Discretionary RAUM · $31.8M to $31.3M
        Jul 22, 2019 to Aug 30, 2019
      • RAUM · $31.8M to $31.3M
        Jul 22, 2019 to Aug 30, 2019
      • Discretionary RAUM · $31.4M to $31.8M
        Mar 13, 2019 to Jul 22, 2019
      • RAUM · $31.4M to $31.8M
        Mar 13, 2019 to Jul 22, 2019
      • Accounts · 3 to 2
        Feb 1, 2019 to Mar 13, 2019
      • Corporate clients · 1 to 0
        Feb 1, 2019 to Mar 13, 2019
      • HNW clients · 1 to 0
        Feb 1, 2019 to Mar 13, 2019
      • Employees · 10 to 9
        Feb 1, 2019 to Mar 13, 2019
      • HQ city · HAZLET to FAIR HAVEN
        Feb 1, 2019 to Mar 13, 2019
      • Discretionary RAUM · $31.2M to $31.4M
        Feb 1, 2019 to Mar 13, 2019
      • HNW RAUM · $76,400 to $0
        Feb 1, 2019 to Mar 13, 2019
      • RAUM · $31.2M to $31.4M
        Feb 1, 2019 to Mar 13, 2019
      • Accounts · 1 to 3
        Jan 3, 2019 to Feb 1, 2019
      • Corporate clients · 0 to 1
        Jan 3, 2019 to Feb 1, 2019
      • HNW clients · 0 to 1
        Jan 3, 2019 to Feb 1, 2019
      • Discretionary RAUM · $31.1M to $31.2M
        Jan 3, 2019 to Feb 1, 2019
      • HNW RAUM · $0 to $76,400
        Jan 3, 2019 to Feb 1, 2019
      • RAUM · $31.1M to $31.2M
        Jan 3, 2019 to Feb 1, 2019
      • Accounts · 0 to 1
        Sep 26, 2018 to Jan 3, 2019
      • Advisory activities · 1 to 3
        Sep 26, 2018 to Jan 3, 2019
      • Employees · 8 to 10
        Sep 26, 2018 to Jan 3, 2019
      • Discretionary RAUM · $0 to $31.1M
        Sep 26, 2018 to Jan 3, 2019
      • RAUM · $0 to $31.1M
        Sep 26, 2018 to Jan 3, 2019
      Signals
      4 dated events
      • Jeanne Diane Drake (Chief Compliance Officer) no longer on Schedule A of F••••••• C•••••• M••••••••• L•• (listed 2019-08-30, absent 2019-09-16)
        Sep 16, 2019 · Control person left · inference
      • Kevin Michael Quain (Chief Compliance Officer) appeared on Schedule A of F••••••• C•••••• M••••••••• L••
        Sep 16, 2019 · Control person joined · fact
      • Amy C••••••••• (Assistant Secretary And Compliance Manager) no longer on Schedule A of F••••••• C•••••• M••••••••• L•• (listed 2018-09-26, absent 2019-01-03)
        Jan 3, 2019 · Control person left · inference
      • F••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 26, 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