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T•••• G••••• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $39.5M of regulatory assets.

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

Last reported RAUM
$39.5M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+11%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 8 Form ADV filings for this adviser, the latest 4.6 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 300038 · SEC 801-114606 · 8 filingsShow
CRD 300038SEC 801-114606First filing on the tape Dec 19, 2018, latest Mar 8, 2022IAPD
RAUM
$39.5M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$39.5M as of Mar 8, 2022
Apr 23, 2020$27.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 8, 2022
Apr 23, 20200 then
Employees (5.A)3 as of Mar 8, 2022
Apr 23, 20203 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 8, 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
$13.2MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Custody
$39.5M, 3 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)
  • 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
  • Corporations and businesses$39.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$39.5M for 3 clientsreported
Compensation
% of AUM, performancereported
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
      • L•• J•••••• · Managercontrol
        since 11/2018 · owns less than 5%
      • R•••••• M•••••• E••••• W• · Chief Compliance Officer And Managing Directorcontrol
        since 11/2018 · owns 10% to 25%
      • L•• J•••••• · Ownercontrol
        since 11/2017 · owns 75% or more of I••••••••• I••••••••• C•••••• L••
      • R•••••• M•••••• E••••• W• · Ownercontrol
        since 11/2017 · owns 75% or more of G••••• N•••••• O• B••••••• C••••••••• I••
      Entity owners
      • T•••• G••••• A•••• M••••••••• H•••••••• I••• · Holding Company
        direct · owns 75% or more
      • G••••• N•••••• O• B••••••• C••••••••• I•• · Member
        indirect · owns 50% to 75% of T•••• G••••• C•••••• L••
      • I••••••••• I••••••••• C•••••• L•• · Member
        indirect · owns 50% to 75% of T•••• G••••• C•••••• L••
      • T•••• G••••• C•••••• L•• · Member
        indirect · owns 75% or more of T•••• G••••• A•••• M••••••••• H•••••••• I•••
      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
      • Advisory activities · 6 to 1
        Apr 19, 2021 to Mar 8, 2022
      • Assets in custody · $35.5M to $39.5M
        Apr 19, 2021 to Mar 8, 2022
      • Discretionary RAUM · $35.5M to $39.5M
        Apr 19, 2021 to Mar 8, 2022
      • RAUM · $35.5M to $39.5M
        Apr 19, 2021 to Mar 8, 2022
      • HQ city · NEW YORK to unset
        Mar 2, 2021 to Apr 1, 2021
      • HQ state · NY to unset
        Mar 2, 2021 to Apr 1, 2021
      • Accounts · 1 to 3
        Apr 23, 2020 to Mar 2, 2021
      • Assets in custody · $27.5M to $35.5M
        Apr 23, 2020 to Mar 2, 2021
      • Discretionary RAUM · $27.5M to $35.5M
        Apr 23, 2020 to Mar 2, 2021
      • RAUM · $27.5M to $35.5M
        Apr 23, 2020 to Mar 2, 2021
      • Assets in custody · $31.6M to $27.5M
        Sep 11, 2019 to Apr 23, 2020
      • Discretionary RAUM · $31.6M to $27.5M
        Sep 11, 2019 to Apr 23, 2020
      • RAUM · $31.6M to $27.5M
        Sep 11, 2019 to Apr 23, 2020
      • Accounts · 0 to 1
        Dec 19, 2018 to May 31, 2019
      • Assets in custody · $0 to $31.6M
        Dec 19, 2018 to May 31, 2019
      • Discretionary RAUM · $0 to $31.6M
        Dec 19, 2018 to May 31, 2019
      • RAUM · $0 to $31.6M
        Dec 19, 2018 to May 31, 2019
      Signals
      1 dated events
      • ••• Locked
        Dec 19, 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