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Former SEC-registered adviser

M•••• I••••••••• L••

Former SEC-registered adviserCharlottesville, VirginiaCRD 301180SEC 801-115220IAPD
Latest filing Aug 11, 2020
First filing on the tape Apr 3, 2019 · 6 filings
RAUM
$1.1M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.1M as of Aug 11, 2020
Jul 23, 2019$10.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 11, 2020
Apr 3, 20193 then
Employees (5.A)5 as of Aug 11, 2020
Apr 3, 201912 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 11, 2020; 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
$220,000derivedRAUM 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 assetsreportedItem 5.E
Advisory activities
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$1.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
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
      • M•••••• D••••• E• · Chief Executive Officercontrol
        since 10/1998 · owns 75% or more
      • C•••• P•••••• S• · Chief Compliance Officer
        since 03/2013 · owns less than 5%
      Entity owners
      • S••••• A•••••• L•••••• · Partner
        direct · owns 10% to 25%
      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 employees · 7 to 3
        Jul 23, 2019 to Aug 11, 2020
      • Advisory activities · 2 to 1
        Jul 23, 2019 to Aug 11, 2020
      • BD registered reps · 3 to 0
        Jul 23, 2019 to Aug 11, 2020
      • Individual clients · 0.0 to unset
        Jul 23, 2019 to Aug 11, 2020
      • Employees · 12 to 5
        Jul 23, 2019 to Aug 11, 2020
      • Insurance-licensed employees · 3 to 0
        Jul 23, 2019 to Aug 11, 2020
      • Financial planning clients · unset to 0
        Jul 23, 2019 to Aug 11, 2020
      • State-registered IARs · 3 to 0
        Jul 23, 2019 to Aug 11, 2020
      • Discretionary RAUM · $10.4M to $1.1M
        Jul 23, 2019 to Aug 11, 2020
      • Individual RAUM · 0.0 to unset
        Jul 23, 2019 to Aug 11, 2020
      • RAUM · $10.4M to $1.1M
        Jul 23, 2019 to Aug 11, 2020
      • Accounts · unset to 5.0
        May 14, 2019 to Jul 23, 2019
      • Discretionary RAUM · unset to 10400000.0
        May 14, 2019 to Jul 23, 2019
      • Non-discretionary RAUM · unset to 0.0
        May 14, 2019 to Jul 23, 2019
      • RAUM · unset to 10400000.0
        May 14, 2019 to Jul 23, 2019
      Signals
      1 dated events
      • ••• Locked
        Apr 3, 2019 · 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