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Former SEC-registered adviser

D••••••••• I•••

Former SEC-registered adviserBrooklyn, New YorkCRD 305285SEC 801-117274IAPD
Latest filing Aug 5, 2022
First filing on the tape Aug 1, 2019 · 18 filings
RAUM
$24,223
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$24,223 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 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$2,802 as of Mar 17, 2022
Sep 1, 2020$6,136 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2022
Sep 1, 20200 then
Employees (5.A)3 as of Mar 17, 2022
Sep 1, 20202 then
Private funds: no history
RAUM +295% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 5, 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
$538derivedRAUM 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
-54%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 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$24,223100%
Individual clients
45reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
45reported
Financial planning clients
n/areported
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
      • D• L• C•••• C•••••••• D•••• · Ceo, Ccocontrol
        since 07/2019 · owns less than 5%
      • N••••••• A•••••••• N••••• · Shareholdercontrol
        since 01/2021 · owns 25% to 50% of E•••• S• D• C•
      • V•••••• B••••••• E•••• A••••••• · Shareholdercontrol
        since 01/2021 · owns 25% to 50% of E•••• S• D• C•
      • V•••••• C••••••••• O•••• J••• C••••••••• · Shareholdercontrol
        since 01/2021 · owns 25% to 50% of E•••• S• D• C•
      • V••••••• J••••• M•••••• D•••• · Shareholdercontrol
        since 01/2021 · owns 25% to 50% of E•••• S• D• C•
      Entity owners
      • I•••••••• H•••••• I••• · Owner
        direct · owns 75% or more
      • E•••• S• D• C• · Shareholder
        indirect · owns 25% to 50% of P••••••••• D• F••••• S••• D• C•
      • P••••••••• D• F••••• S••• D• C• · Shareholder
        indirect · owns 50% to 75% of I•••••••• H•••••• I•••
      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 · 17 to 45
        Jun 1, 2022 to Aug 5, 2022
      • Individual clients · 17 to 45
        Jun 1, 2022 to Aug 5, 2022
      • Discretionary RAUM · $2,802 to $24,223
        Jun 1, 2022 to Aug 5, 2022
      • Individual RAUM · $2,802 to $24,223
        Jun 1, 2022 to Aug 5, 2022
      • RAUM · $2,802 to $24,223
        Jun 1, 2022 to Aug 5, 2022
      • Business name · I••••••••• I••• to D••••••••• I•••
        Mar 17, 2022 to Jun 1, 2022
      • Legal name · I••••••••• I••• to D••••••••• I•••
        Mar 17, 2022 to Jun 1, 2022
      • Accounts · 8 to 17
        Nov 1, 2021 to Mar 17, 2022
      • Individual clients · 8 to 17
        Nov 1, 2021 to Mar 17, 2022
      • Employees · 2 to 3
        Nov 1, 2021 to Mar 17, 2022
      • Accounts · 3 to 8
        Sep 10, 2021 to Nov 1, 2021
      • Individual clients · unset to 8.0
        Sep 10, 2021 to Nov 1, 2021
      • Discretionary RAUM · $6,136 to $2,802
        Sep 10, 2021 to Nov 1, 2021
      • Individual RAUM · $6,136 to $2,802
        Sep 10, 2021 to Nov 1, 2021
      • RAUM · $6,136 to $2,802
        Sep 10, 2021 to Nov 1, 2021
      • Advisory employees · 1 to 2
        Sep 4, 2021 to Sep 10, 2021
      • Accounts · unset to 3.0
        Jun 30, 2020 to Sep 1, 2020
      • Discretionary RAUM · unset to 6136.0
        Jun 30, 2020 to Sep 1, 2020
      • Individual RAUM · unset to 6136.0
        Jun 30, 2020 to Sep 1, 2020
      • Non-discretionary RAUM · unset to 0.0
        Jun 30, 2020 to Sep 1, 2020
      • RAUM · unset to 6136.0
        Jun 30, 2020 to Sep 1, 2020
      • Advisory activities · 2 to 1
        Dec 18, 2019 to Jan 8, 2020
      Signals
      5 dated events
      • O•••• J••• C••••••••• V•••••• C•••••••• (Shareholder) appeared on Schedule A of D••••••••• I•••
        Aug 5, 2022 · Control person joined · fact
      • J••••• M•••••• D•••• V•••••• (Shareholder) appeared on Schedule A of D••••••••• I•••
        Aug 5, 2022 · Control person joined · fact
      • A•••••••• N••••• N•••••• (Shareholder) appeared on Schedule A of D••••••••• I•••
        Aug 5, 2022 · Control person joined · fact
      • E•••• A••••••• V•••••• B•••••• (Shareholder) appeared on Schedule A of D••••••••• I•••
        Aug 5, 2022 · Control person joined · fact
      • I••••••••• I••• filed its initial SEC registration (Form ADV)
        Aug 1, 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