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Former SEC-registered adviser

A••••••••• F•••••••• S•••••••

Former SEC-registered adviserLake Mary, FloridaCRD 304454SEC 801-117771IAPD
Legal name A••••••••• F•••••••• S•••••••• L••
Latest filing May 15, 2020
First filing on the tape Nov 11, 2019 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
3 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 15, 2020
Nov 11, 20192 then
Employees (5.A)2 as of May 15, 2020
Nov 11, 20192 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 15, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • C•••••••• J••••• P• · President / Ccocontrol
        since 05/2019 · owns less than 5%
      • H••••••••• J•••• W••••• · Elected Managercontrol
        since 05/2019 · owns less than 5%
      • K••••••• S•••••• K• · Secretarycontrol
        since 05/2019 · owns less than 5%
      • M••••••• J•••••• M••••• · Chief Executive Officercontrol
        since 05/2019 · owns less than 5%
      • R••••• T••••• E••••• · Elected Managercontrol
        since 05/2019 · owns less than 5%
      • V••••••••• P••• A••••• · Elected Managercontrol
        since 05/2019 · owns less than 5%
      • C••••••••• S•••• B•••••• · Enforcercontrol
        since 09/2015 · owns F of H••••• I• P•••••• T••••
      • G•••••• A••••• W•••••• · Trusteecontrol
        since 12/2018 · owns F of H••••• I• P•••••• T••••
      • W•••• J••••••••• M••• L• M••••• · Trusteecontrol
        since 05/2010 · owns F of H••••• I• P•••••• T••••
      • B••••••••• D•••• P••• · Finop
        since 05/2019 · owns less than 5%
      Entity owners
      • A••••••••• C••••••• I••• · Sole Member
        direct · owns 75% or more
      • A••• G••••••• ••••••• P•• L•••••• A••• I• C••• · Shareholder
        indirect · owns 75% or more of A••• I• G• C•• L••••••
      • A••• I• G• C•• L•••••• · Shareholder
        indirect · owns 75% or more of Y••• B•••• A••••••••• G• C•• L••••••
      • A••• I• G• C•• L•••••• · General Partner
        indirect · owns F of A••• I• U•• G• L••• I•••
      • A••• I• U•• G• L••• I••• · General Partner
        indirect · owns F of A••• I• U•• L•••
      • A••• I• U•• G• L••• I••• · General Partner
        indirect · owns F of A• U•• ••••••• L•••
      • A••••••••• I••• · Shareholder
        indirect · owns 75% or more of A••••••••• C••••••• I•••
      • D•••••• M••••• I••• · Shareholder
        indirect · owns 75% or more of A••••••••• I•••
      • D•••••• T••••• I••• · Shareholder
        indirect · owns 75% or more of D•••••• M••••• I•••
      • G••• ••• I•••••••• L• · L•••••• Partner
        indirect · owns 50% to 75% of T•• A••••••••• G•••• L•
      • G••• F••• X•••• L• · L•••••• Partner
        indirect · owns 25% to 50% of G••• ••• I•••••••• L•
      • G••• I••••••••• X•• L•• · General Partner
        indirect · owns F of G••• P••••••• X•••••• L.P.
      • G••• P••••••• X•••••• L• · Member
        indirect · owns 50% to 75% of T•• A••••••••• G•••• G•• L••
      • G••• P••••••• X•••••• L• · General Partner
        indirect · owns F of G••• F••• X•••• L•
      • H••••• I• P•••••• T•••• · Shareholder
        indirect · owns 75% or more of A••• G••••••• ••••••• P•• L•••••• A••• I• C•••
      • T•• A••••••••• G•••• G•• L•• · General Partner
        indirect · owns F of T•• A••••••••• G•••• L•
      • T•• A••••••••• G•••• L• · Shareholder
        indirect · owns 75% or more of D•••••• T••••• I•••
      • Y••• B•••• A••••••••• G• C•• L•••••• · Member
        indirect · owns 50% to 75% of T•• A••••••••• G•••• G•• L••
      • Y••• B•••• A••••••••• G• C•• L•••••• · General Partner
        indirect · owns F of Y••• B•••• A••••••••• L.P.
      • A• U•• ••••••• L••• · L•••••• Partner
        indirect · owns 25% to 50% of A••• I• U•• L•••
      Related persons
      Schedule D 7.A
      • A••••••••• C••••••• I•••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Succession · false to true
        Feb 19, 2020 to May 15, 2020
      • Other offices · 1 to 0
        Nov 11, 2019 to Feb 19, 2020
      Signals
      2 dated events
      • A••••••••• F•••••••• S••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        May 15, 2020 · Succession (Item 4) · fact
      • A••••••••• F•••••••• S••••••• filed its initial SEC registration (Form ADV)
        Nov 11, 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