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Former SEC-registered adviser

A•••••••• I••••••••• M•••••••••

Former SEC-registered adviserBristol, PennsylvaniaCRD 305357SEC 801-117309IAPD
Legal name A•••••••• I••••••••• M••••••••• L••
Latest filing Jul 18, 2022
First filing on the tape Aug 9, 2019 · 13 filings
RAUM
$22.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$22.4M as of Mar 30, 2022
Mar 4, 2020$267M then
HNW client RAUM$0 as of Mar 30, 2022
Mar 4, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 4, 20200 then
Employees (5.A)7 as of Mar 30, 2022
Mar 4, 20207 then
Private funds: no history
RAUM -74% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 18, 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
$11.2MderivedRAUM 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
-74%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 investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$22.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
      • C••••••• M•••••• · Directorcontrol
        since 01/2020 · owns less than 5%
      • D•••••• A•••• R•••••••• · Chief Executive Officer; Chief Investment Officercontrol
        since 10/2019 · owns 5% to 10%
      • J•••••• J•••••• A•••••••• · Directorcontrol
        since 01/2020 · owns less than 5%
      • V•••••• R•••••••• S•••• · Chief Compliance Officercontrol
        since 04/2020 · owns less than 5%
      • P•••••• J•••• E••••• · Ownercontrol
        since 08/2019 · owns 25% to 50% of A•••••••• O••••••••• M••••••••• I•••
      • R•••••• R••••• G•••• · Member
        since 07/2022 · owns 5% to 10%
      Entity owners
      • A•••••••• O••••••••• M••••••••• I••• · Owner
        direct · 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
      • Advisory employees · 3 to 2
        Mar 30, 2022 to Jul 18, 2022
      • Employees · 7 to 5
        Mar 30, 2022 to Jul 18, 2022
      • Accounts · 3 to 2
        Jun 14, 2021 to Mar 30, 2022
      • Advisory activities · 2 to 1
        Jun 14, 2021 to Mar 30, 2022
      • BD registered reps · 3 to 0
        Jun 14, 2021 to Mar 30, 2022
      • Charity clients · 0.0 to unset
        Jun 14, 2021 to Mar 30, 2022
      • Corporate clients · 0.0 to unset
        Jun 14, 2021 to Mar 30, 2022
      • HNW clients · 0.0 to unset
        Jun 14, 2021 to Mar 30, 2022
      • Individual clients · 0.0 to unset
        Jun 14, 2021 to Mar 30, 2022
      • Pension plan clients · 0.0 to unset
        Jun 14, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 1.0 to unset
        Jun 14, 2021 to Mar 30, 2022
      • Custody of client assets · true to false
        Jun 14, 2021 to Mar 30, 2022
      • Employees · 8 to 7
        Jun 14, 2021 to Mar 30, 2022
      • Discretionary RAUM · $87.8M to $22.4M
        Jun 14, 2021 to Mar 30, 2022
      • RAUM · $87.8M to $22.4M
        Jun 14, 2021 to Mar 30, 2022
      • Related broker-dealer · true to false
        Feb 25, 2021 to Jun 14, 2021
      • Accounts · 2 to 3
        Dec 21, 2020 to Jan 28, 2021
      • Discretionary RAUM · $124M to $87.8M
        Dec 21, 2020 to Jan 28, 2021
      • RAUM · $124M to $87.8M
        Dec 21, 2020 to Jan 28, 2021
      • HQ city · PRINCETON to BRISTOL
        Oct 16, 2020 to Dec 21, 2020
      • HQ state · NJ to PA
        Oct 16, 2020 to Dec 21, 2020
      • Advisory activities · 1 to 2
        May 5, 2020 to Oct 16, 2020
      • BD registered reps · 2 to 3
        May 5, 2020 to Oct 16, 2020
      • Pooled vehicle clients · unset to 1.0
        May 5, 2020 to Oct 16, 2020
      • Assets in custody · unset to 0.0
        May 5, 2020 to Oct 16, 2020
      • Custody of client assets · false to true
        May 5, 2020 to Oct 16, 2020
      • Employees · 7 to 8
        May 5, 2020 to Oct 16, 2020
      • Discretionary RAUM · $267M to $124M
        May 5, 2020 to Oct 16, 2020
      • Pooled vehicle RAUM · unset to 0.0
        May 5, 2020 to Oct 16, 2020
      • RAUM · $267M to $124M
        May 5, 2020 to Oct 16, 2020
      • Related adviser · true to false
        May 5, 2020 to Oct 16, 2020
      • BD registered reps · 0 to 2
        Nov 27, 2019 to Mar 4, 2020
      • Employees · 4 to 7
        Nov 27, 2019 to Mar 4, 2020
      • Other offices · 1 to 0
        Nov 27, 2019 to Mar 4, 2020
      • Organization form · Limited Liability Partnership to Limited Liability Company
        Nov 27, 2019 to Mar 4, 2020
      Signals
      11 dated events
      • ••• Locked
        Mar 30, 2022 · Control person joined · fact
      • ••• Locked
        Mar 30, 2022 · Control person joined · fact
      • ••• Locked
        Feb 25, 2021 · Control person joined · fact
      • ••• Locked
        Oct 16, 2020 · RAUM change · derived
      • ••• Locked
        May 5, 2020 · Control person joined · fact
      • ••• Locked
        May 5, 2020 · Control person left · inference
      • ••• Locked
        Mar 31, 2020 · Control person joined · fact
      • ••• Locked
        Mar 31, 2020 · Control person left · inference
      • ••• Locked
        Oct 14, 2019 · Control person joined · fact
      • ••• Locked
        Oct 14, 2019 · Control person left · inference
      • ••• Locked
        Aug 9, 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