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T••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private funds

Former SEC-registered adviser, reporting $160,000 of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$160,000
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
6.3% of RAUM, $10,000
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 2 Form ADV filings for this adviser, the latest 5.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 308566 · SEC 801-118840 · 2 filingsShow
CRD 308566SEC 801-118840First filing on the tape May 3, 2020, latest Mar 2, 2021IAPD
RAUM
$160,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.3%
$10,000 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
2
$102,430 gross assets
History
2 filings and snapshots on the tape
RAUM$160,000 as of Mar 2, 2021
May 3, 2020$117,000 then
HNW client RAUM$8,000 as of Mar 2, 2021
May 3, 2020$5,000 then
State-registered IARs (5.B.3)0 as of Mar 2, 2021
May 3, 20200 then
Employees (5.A)1 as of Mar 2, 2021
May 3, 20201 then
Private funds2 as of Mar 2, 2021
May 3, 20202 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 2, 2021; 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
$53,333derivedRAUM 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
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 fees, subscription, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$150,00094%
  • High-net-worth individuals$8,0005.0%
  • Individuals$2,0001.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• F••• L•Hedge Fund$101,4303May 3, 2020
      G••••• E••••• L•Hedge Fund$1,0001May 3, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••• D•••••• T••••• · Ceocontrol
        since 12/2019 · 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
      • Accounts · 4 to 3
        May 3, 2020 to Mar 2, 2021
      • Discretionary RAUM · $117,000 to $160,000
        May 3, 2020 to Mar 2, 2021
      • HNW RAUM · $5,000 to $8,000
        May 3, 2020 to Mar 2, 2021
      • Pooled vehicle RAUM · $110,000 to $150,000
        May 3, 2020 to Mar 2, 2021
      • RAUM · $117,000 to $160,000
        May 3, 2020 to Mar 2, 2021
      Signals
      1 dated events
      • ••• Locked
        May 3, 2020 · 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