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Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $748,866 of regulatory assets.

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

Last reported RAUM
$748,866
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
100% of RAUM, $748,866
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 5 Form ADV filings for this adviser, the latest 5.7 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 301857 · SEC 801-115294 · 5 filingsShow
CRD 301857SEC 801-115294First filing on the tape Apr 17, 2019, latest Feb 1, 2021IAPD
RAUM
$748,866
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$748,866 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$748,866 as of Feb 1, 2021
Apr 17, 2019$0 then
HNW client RAUM$748,866 as of Feb 1, 2021
Apr 23, 2020$748,866 then
State-registered IARs (5.B.3)2 as of Feb 1, 2021
Apr 17, 20190 then
Employees (5.A)2 as of Feb 1, 2021
Apr 17, 20192 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 1, 2021; every figure names its basis
RAUM per advisor
$374,433derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$748,866derivedHNW RAUM over HNW clients
Average account
$187,217derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$748,866100%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      • F••••••• D••••• J••••• · Managing Partner & Ccocontrol
        since 03/2019 · owns 50% to 75%
      • F••• S••••• F••••••• · Managing Partnercontrol
        since 03/2019 · owns 50% to 75%
      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 · 0 to 4
        Sep 17, 2019 to Apr 23, 2020
      • HNW clients · unset to 1.0
        Sep 17, 2019 to Apr 23, 2020
      • Discretionary RAUM · $0 to $748,866
        Sep 17, 2019 to Apr 23, 2020
      • HNW RAUM · unset to 748866.0
        Sep 17, 2019 to Apr 23, 2020
      • RAUM · $0 to $748,866
        Sep 17, 2019 to Apr 23, 2020
      • Insurance-licensed employees · 2 to 0
        Aug 19, 2019 to Sep 17, 2019
      • State-registered IARs · 0 to 2
        Aug 19, 2019 to Sep 17, 2019
      Signals
      1 dated events
      • ••• Locked
        Apr 17, 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