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Former SEC-registered adviser

C•••••• O••••••• I•••

Former SEC-registered adviserCRD 309840SEC 801-119121IAPD
Latest filing Jan 24, 2024
First filing on the tape Jun 23, 2020 · 11 filings
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$152M 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
11 filings and snapshots on the tape
RAUM$155M as of Jan 24, 2024
Feb 24, 2021$156M then
HNW client RAUM$139M as of Jan 24, 2024
Feb 24, 2021$119M then
State-registered IARs (5.B.3)1 as of Jan 24, 2024
Feb 24, 20211 then
Employees (5.A)1 as of Jan 24, 2024
Feb 24, 20211 then
Private funds: no history
RAUM +20% over the last fiscal year-0.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 24, 2024; every figure names its basis
RAUM per advisor
$155MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.8MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-18%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
  • 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$139M90%
  • Individuals$13.6M8.8%
  • Charitable organizations$2.2M1.4%
Individual clients
22reported
HNW clients
24reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
124reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      • B••••••• M••••••• E••••• · President, Chief Compliance Officercontrol
        since 02/2006 · 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 · 127 to 124
        Jan 12, 2023 to Jan 24, 2024
      • Charity clients · unset to 2.0
        Jan 12, 2023 to Jan 24, 2024
      • HNW clients · 35 to 24
        Jan 12, 2023 to Jan 24, 2024
      • Individual clients · 21 to 22
        Jan 12, 2023 to Jan 24, 2024
      • Financial planning clients · 51-100 to 26-50
        Jan 12, 2023 to Jan 24, 2024
      • Discretionary RAUM · $129M to $155M
        Jan 12, 2023 to Jan 24, 2024
      • HNW RAUM · $122M to $139M
        Jan 12, 2023 to Jan 24, 2024
      • Individual RAUM · $7.4M to $13.6M
        Jan 12, 2023 to Jan 24, 2024
      • RAUM · $129M to $155M
        Jan 12, 2023 to Jan 24, 2024
      • Accounts · 117 to 127
        Feb 17, 2022 to Jan 12, 2023
      • HNW clients · 25 to 35
        Feb 17, 2022 to Jan 12, 2023
      • Individual clients · 15 to 21
        Feb 17, 2022 to Jan 12, 2023
      • Financial planning clients · 0 to 51-100
        Feb 17, 2022 to Jan 12, 2023
      • Discretionary RAUM · $158M to $129M
        Feb 17, 2022 to Jan 12, 2023
      • HNW RAUM · $146M to $122M
        Feb 17, 2022 to Jan 12, 2023
      • Individual RAUM · $7.2M to $7.4M
        Feb 17, 2022 to Jan 12, 2023
      • Non-discretionary RAUM · $31.5M to $0
        Feb 17, 2022 to Jan 12, 2023
      • Pension RAUM · 31500000.0 to unset
        Feb 17, 2022 to Jan 12, 2023
      • RAUM · $189M to $129M
        Feb 17, 2022 to Jan 12, 2023
      • Accounts · 119 to 117
        Jul 22, 2021 to Feb 17, 2022
      • HNW clients · 27 to 25
        Jul 22, 2021 to Feb 17, 2022
      • Individual clients · 19 to 15
        Jul 22, 2021 to Feb 17, 2022
      • Discretionary RAUM · $156M to $158M
        Jul 22, 2021 to Feb 17, 2022
      • HNW RAUM · $119M to $146M
        Jul 22, 2021 to Feb 17, 2022
      • Individual RAUM · $6.3M to $7.2M
        Jul 22, 2021 to Feb 17, 2022
      • Non-discretionary RAUM · $0 to $31.5M
        Jul 22, 2021 to Feb 17, 2022
      • Pension RAUM · $30.4M to $31.5M
        Jul 22, 2021 to Feb 17, 2022
      • RAUM · $156M to $189M
        Jul 22, 2021 to Feb 17, 2022
      • Discretionary RAUM · $0 to $156M
        Feb 24, 2021 to Mar 18, 2021
      • Non-discretionary RAUM · $156M to $0
        Feb 24, 2021 to Mar 18, 2021
      • Charity clients · 2.0 to unset
        Aug 3, 2020 to Feb 24, 2021
      • HNW clients · 37 to 27
        Aug 3, 2020 to Feb 24, 2021
      • Individual clients · 26 to 19
        Aug 3, 2020 to Feb 24, 2021
      • Pension plan clients · 1.0 to unset
        Aug 3, 2020 to Feb 24, 2021
      • Discretionary RAUM · $113M to $0
        Aug 3, 2020 to Feb 24, 2021
      • HNW RAUM · $107M to $119M
        Aug 3, 2020 to Feb 24, 2021
      • Individual RAUM · $9.0M to $6.3M
        Aug 3, 2020 to Feb 24, 2021
      • Non-discretionary RAUM · $27.0M to $156M
        Aug 3, 2020 to Feb 24, 2021
      • Pension RAUM · $22.8M to $30.4M
        Aug 3, 2020 to Feb 24, 2021
      • RAUM · $140M to $156M
        Aug 3, 2020 to Feb 24, 2021
      Signals
      3 dated events
      • Irvin Paul Cox (Chief Compliance Officer) no longer on Schedule A of C•••••• O••••••• I••• (listed 2020-07-15, absent 2020-08-03)
        Aug 3, 2020 · Control person left · inference
      • Eugene Michael Brodnax (President) appeared on Schedule A of C•••••• O••••••• I•••
        Jul 15, 2020 · Control person joined · fact
      • C•••••• O••••••• I••• filed its initial SEC registration (Form ADV)
        Jun 23, 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