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Former SEC-registered adviser

M••••••••• P••••••• M••••• I•••

Former SEC-registered adviserCRD 3046SEC 801-78147IAPD
Latest filing Sep 19, 2023
First filing on the tape May 28, 2013 · 18 filings
RAUM
$169M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
91%
$154M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$169M as of Sep 19, 2023
Sep 25, 2013$99.4M then
HNW client RAUM$153M as of Sep 19, 2023
Sep 25, 2018$145M then
State-registered IARs (5.B.3)0 as of Sep 19, 2023
Sep 25, 20130 then
Employees (5.A)1 as of Sep 19, 2023
Sep 25, 20134 then
Private funds: no history
RAUM +4.6% over the last fiscal year+8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 19, 2023; 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
$4.6MderivedHNW RAUM over HNW clients
Average account
$4.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
4.5%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
+4.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-2.6%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$153M91%
  • Charitable organizations$7.7M4.5%
  • Investment companies$7.2M4.3%
  • Individuals$564,0030.3%
Individual clients
4reported
HNW clients
33reported
Pension plan clients
n/areported
Charitable clients
4reported
Accounts
42reported
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••••• S••••••• · Director/Ceo/President/Secretary/Treasurer/ Ccocontrol
        since 06/2013 · owns 75% or more
      • R•••••• P••••• K• · Coo
        since 09/2018 · owns less than 5%
      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 · 43 to 42
        Oct 3, 2022 to Sep 19, 2023
      • HNW clients · 34 to 33
        Oct 3, 2022 to Sep 19, 2023
      • Discretionary RAUM · $149M to $160M
        Oct 3, 2022 to Sep 19, 2023
      • HNW RAUM · $146M to $153M
        Oct 3, 2022 to Sep 19, 2023
      • Individual RAUM · $742,650 to $564,003
        Oct 3, 2022 to Sep 19, 2023
      • Non-discretionary RAUM · $12.3M to $8.5M
        Oct 3, 2022 to Sep 19, 2023
      • RAUM · $161M to $169M
        Oct 3, 2022 to Sep 19, 2023
      • Discretionary RAUM · $175M to $149M
        Sep 7, 2021 to Sep 12, 2022
      • HNW RAUM · $173M to $146M
        Sep 7, 2021 to Sep 12, 2022
      • Individual RAUM · $812,272 to $742,650
        Sep 7, 2021 to Sep 12, 2022
      • Non-discretionary RAUM · $14.0M to $12.3M
        Sep 7, 2021 to Sep 12, 2022
      • RAUM · $189M to $161M
        Sep 7, 2021 to Sep 12, 2022
      • Accounts · 36 to 43
        Jul 1, 2021 to Sep 7, 2021
      • Charity clients · 3 to 4
        Jul 1, 2021 to Sep 7, 2021
      • HNW clients · 27 to 34
        Jul 1, 2021 to Sep 7, 2021
      • Individual clients · 5 to 4
        Jul 1, 2021 to Sep 7, 2021
      • Discretionary RAUM · $122M to $175M
        Jul 1, 2021 to Sep 7, 2021
      • HNW RAUM · $119M to $173M
        Jul 1, 2021 to Sep 7, 2021
      • Individual RAUM · $1.9M to $812,272
        Jul 1, 2021 to Sep 7, 2021
      • Non-discretionary RAUM · $10.0M to $14.0M
        Jul 1, 2021 to Sep 7, 2021
      • RAUM · $132M to $189M
        Jul 1, 2021 to Sep 7, 2021
      • HQ city · NEW YORK to unset
        Sep 22, 2020 to Jul 1, 2021
      • HQ state · NY to unset
        Sep 22, 2020 to Jul 1, 2021
      • Discretionary RAUM · $137M to $122M
        Jun 24, 2020 to Sep 22, 2020
      • HNW RAUM · $134M to $119M
        Jun 24, 2020 to Sep 22, 2020
      • Individual RAUM · $1.5M to $1.9M
        Jun 24, 2020 to Sep 22, 2020
      • Non-discretionary RAUM · $10.4M to $10.0M
        Jun 24, 2020 to Sep 22, 2020
      • RAUM · $147M to $132M
        Jun 24, 2020 to Sep 22, 2020
      • Accounts · 39 to 36
        Feb 14, 2019 to Sep 27, 2019
      • HNW clients · 30 to 27
        Feb 14, 2019 to Sep 27, 2019
      • Discretionary RAUM · $142M to $137M
        Feb 14, 2019 to Sep 27, 2019
      • HNW RAUM · $145M to $134M
        Feb 14, 2019 to Sep 27, 2019
      • Individual RAUM · $1.4M to $1.5M
        Feb 14, 2019 to Sep 27, 2019
      • Non-discretionary RAUM · $14.9M to $10.4M
        Feb 14, 2019 to Sep 27, 2019
      • RAUM · $157M to $147M
        Feb 14, 2019 to Sep 27, 2019
      • Accounts · 38 to 39
        Sep 20, 2017 to Sep 25, 2018
      • Charity clients · unset to 3.0
        Sep 20, 2017 to Sep 25, 2018
      • HNW clients · unset to 30.0
        Sep 20, 2017 to Sep 25, 2018
      • Individual clients · unset to 5.0
        Sep 20, 2017 to Sep 25, 2018
      • Other offices · unset to 0.0
        Sep 20, 2017 to Sep 25, 2018
      Signals
      1 dated events
      • M••••••••• P••••••• M••••• I••• filed its initial SEC registration (Form ADV)
        May 28, 2013 · 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