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Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $2 of regulatory assets.

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

Last reported RAUM
$2
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+0.0%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $2
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 9 Form ADV filings for this adviser, the latest 6 months 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 304148 · SEC 801-117193 · 9 filingsShow
CRD 304148SEC 801-117193First filing on the tape Jul 18, 2019, latest Mar 3, 2026SEC status approved since Aug 15, 2019IAPD
RAUM
$2
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
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$2 as of Mar 3, 2026
Jan 21, 2020$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 3, 2026
Jan 21, 20200 then
Employees (5.A)2 as of Mar 3, 2026
Jan 21, 20201 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 2026; 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
$2derivedRAUM 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
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+100%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • Individuals$2100%
Individual clients
2reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
      • P••••••• C••••••••• L•••• · Ceo/Ccocontrol
        since 04/2019 · 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
      • Individual clients · 1 to 2
        Mar 19, 2025 to Mar 3, 2026
      • Employees · 1 to 2
        Mar 19, 2025 to Mar 3, 2026
      • Financial planning clients · unset to
        Aug 13, 2024 to Mar 19, 2025
      • HQ city · unset to
        Aug 13, 2024 to Mar 19, 2025
      • HQ state · unset to
        Aug 13, 2024 to Mar 19, 2025
      • Accounts · 100 to 1
        Mar 10, 2022 to Aug 13, 2024
      • Individual clients · 100 to 1
        Mar 10, 2022 to Aug 13, 2024
      • Discretionary RAUM · $0 to $2
        Mar 10, 2022 to Aug 13, 2024
      • Individual RAUM · $5,000 to $2
        Mar 10, 2022 to Aug 13, 2024
      • Non-discretionary RAUM · $5,000 to $0
        Mar 10, 2022 to Aug 13, 2024
      • RAUM · $5,000 to $2
        Mar 10, 2022 to Aug 13, 2024
      • Discretionary RAUM · $5,000 to $0
        Mar 16, 2021 to Mar 10, 2022
      • Non-discretionary RAUM · $0 to $5,000
        Mar 16, 2021 to Mar 10, 2022
      • Accounts · 0 to 100
        Jun 24, 2020 to Mar 16, 2021
      • Advisory activities · 2 to 1
        Jun 24, 2020 to Mar 16, 2021
      • Individual clients · 0 to 100
        Jun 24, 2020 to Mar 16, 2021
      • Financial planning clients · 0 to unset
        Jun 24, 2020 to Mar 16, 2021
      • Discretionary RAUM · $0 to $5,000
        Jun 24, 2020 to Mar 16, 2021
      • Individual RAUM · unset to 5000.0
        Jun 24, 2020 to Mar 16, 2021
      • RAUM · $0 to $5,000
        Jun 24, 2020 to Mar 16, 2021
      • Wrap assets (manager) · unset to 0.0
        Jun 24, 2020 to Mar 16, 2021
      • Wrap assets (sponsor) · unset to 0.0
        Jun 24, 2020 to Mar 16, 2021
      Signals
      2 dated events
      • ••• Locked
        Jun 1, 2026 · Left the SEC roster · derived
      • ••• Locked
        Jul 18, 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