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U••••••• I••••••••• A••••••• L••

Former SEC-registered adviserFormer SEC adviser· North Whiite Plains, New York

Former SEC-registered adviser, based in North Whiite Plains, New York, reporting $34.2M of regulatory assets.

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

Last reported RAUM
$34.2M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+34149%
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
Why this matters
Every filed figure, and the identifiersCRD 301254 · SEC 801-115214 · 9 filingsShow
CRD 301254SEC 801-115214First filing on the tape Apr 3, 2019, latest Mar 30, 2022IAPD
RAUM
$34.2M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$34.2M as of Mar 29, 2022
Mar 28, 2020$100,000 then
HNW client RAUM$0 as of Mar 29, 2022
Mar 28, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 28, 20200 then
Employees (5.A)3 as of Mar 29, 2022
Mar 28, 20202 then
Private funds: no history
RAUM +34149% over the last fiscal yearIARs 0 to 0offices 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
$17.1MderivedRAUM 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
+34149%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$34.2M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
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
      • L••••••••• T•••••••• M••••• · Chief Compliance Officer
        since 03/2019 · owns less than 5%
      • R••••• E•••• M•••••• · President And Chief Executive Officer
        since 06/2021 · owns less than 5%
      Entity owners
      • U••••••• G••••• C••••••••• · Shareholder
        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
      • Advisory activities · 4 to 2
        Dec 2, 2021 to Mar 29, 2022
      • Discretionary RAUM · $30.1M to $34.2M
        Dec 2, 2021 to Mar 29, 2022
      • RAUM · $30.1M to $34.2M
        Dec 2, 2021 to Mar 29, 2022
      • Related adviser · false to true
        Dec 2, 2021 to Mar 29, 2022
      • Wrap assets (manager) · 0.0 to unset
        Dec 2, 2021 to Mar 29, 2022
      • Wrap assets (sponsor) · 0.0 to unset
        Dec 2, 2021 to Mar 29, 2022
      • Other offices · 1 to 0
        Jul 7, 2021 to Dec 2, 2021
      • Discretionary RAUM · $20.0M to $30.1M
        Jul 7, 2021 to Dec 2, 2021
      • RAUM · $20.0M to $30.1M
        Jul 7, 2021 to Dec 2, 2021
      • Advisory activities · 2 to 4
        Mar 31, 2021 to Jul 7, 2021
      • Discretionary RAUM · $100,000 to $20.0M
        Mar 31, 2021 to Jul 7, 2021
      • RAUM · $100,000 to $20.0M
        Mar 31, 2021 to Jul 7, 2021
      • Wrap assets (manager) · unset to 0.0
        Mar 31, 2021 to Jul 7, 2021
      • Wrap assets (sponsor) · unset to 0.0
        Mar 31, 2021 to Jul 7, 2021
      • Accounts · 1 to 2
        Mar 28, 2020 to Mar 31, 2021
      • Employees · 2 to 3
        Mar 28, 2020 to Mar 31, 2021
      • Business name · U••••••• G••••• A••••••• L•• to U••••••• I••••••••• A••••••• L••
        Aug 21, 2019 to Mar 28, 2020
      • Legal name · U••••••• G••••• A••••••• L•• to U••••••• I••••••••• A••••••• L••
        Aug 21, 2019 to Mar 28, 2020
      • Accounts · 0 to 1
        Apr 10, 2019 to Aug 21, 2019
      • Advisory activities · 1 to 2
        Apr 10, 2019 to Aug 21, 2019
      • HQ city · NEW YORK to NORTH WHIITE PLAINS
        Apr 10, 2019 to Aug 21, 2019
      • Discretionary RAUM · $0 to $100,000
        Apr 10, 2019 to Aug 21, 2019
      • RAUM · $0 to $100,000
        Apr 10, 2019 to Aug 21, 2019
      Signals
      3 dated events
      • ••• Locked
        Jul 7, 2021 · Control person left · inference
      • ••• Locked
        Mar 28, 2020 · Control person left · inference
      • ••• 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