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Former SEC-registered adviser

S•••••••• A••••••• S••••••• L••

Former SEC-registered adviserCRD 306054SEC 801-117644IAPD
Latest filing Apr 9, 2020
First filing on the tape Oct 16, 2019 · 2 filings
RAUM
$598M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$598M as of Apr 9, 2020
Oct 16, 2019$619M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 9, 2020
Oct 16, 20190 then
Employees (5.A)1 as of Apr 9, 2020
Oct 16, 20191 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 9, 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
$150MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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)
  • 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)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$598M100%
  • Corporations and businesses$49,6450.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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••••••••• R•••••• E• · Managing Member & Chief Compliance Officercontrol
        since 10/2019 · 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
      • Corporate clients · unset to 1.0
        Oct 16, 2019 to Apr 9, 2020
      • Pension plan clients · unset to 3.0
        Oct 16, 2019 to Apr 9, 2020
      • Financial planning clients · unset to 1-10
        Oct 16, 2019 to Apr 9, 2020
      • Other offices · 1 to 0
        Oct 16, 2019 to Apr 9, 2020
      • Discretionary RAUM · $619M to $598M
        Oct 16, 2019 to Apr 9, 2020
      • Pension RAUM · $619M to $598M
        Oct 16, 2019 to Apr 9, 2020
      • RAUM · $619M to $598M
        Oct 16, 2019 to Apr 9, 2020
      Signals
      1 dated events
      • S•••••••• A••••••• S••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 16, 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