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Former SEC-registered adviser

A••••••••• C•••••• P•••••••• L••

Former SEC-registered adviserWest Palm Beach, FloridaCRD 311104SEC 801-120261IAPD
Latest filing Mar 1, 2023
First filing on the tape Jan 4, 2021 · 7 filings
RAUM
$319M
reported, Item 5.F
Discretionary
89%
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$223M gross assets
History
7 filings and snapshots on the tape
RAUM$319M as of Mar 1, 2023
Apr 1, 2022$286M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 1, 2023
Apr 1, 20220 then
Employees (5.A)6 as of Mar 1, 2023
Apr 1, 20226 then
Private funds2 as of Mar 1, 2023
Apr 1, 20222 then
RAUM +12% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 1, 2023; 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
$106MderivedRAUM over accounts (5.F.2.f)
Discretionary
89%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
+12%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 assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$20.8M, 1 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$283M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$20.8M for 1 clientsreported
Compensation
% of AUM, 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
      A••••••••• C•••••• P••••••• S••• F•••• L•••Other Private Fund$191M26Jan 4, 2021
      A•••••••• C••••••••• L••Other Private Fund$32.6M3Jan 4, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• M••••••• D•••• · Managing Partnercontrol
        since 04/2015 · owns less than 5%
      • C•••••• G•••••• M•••••• · Managing Partnercontrol
        since 04/2015 · owns less than 5%
      • D••••••• A••••• A•• · Chief Financial Officercontrol
        since 05/2020 · owns less than 5%
      • D••••• E•••• J••••• · Chief Compliance Officercontrol
        since 10/2021 · owns less than 5%
      • B••••••••• M••••••• D•••• · Managing Membercontrol
        since 12/2020 · owns 75% or more of B••••• M••••••••• C••• L••
      • C•••••• G•••••• M•••••• · Managing Membercontrol
        since 12/2020 · owns 75% or more of G•• V•••••• C••• L••
      Entity owners
      • B••••• M••••••••• C••• L•• · Owner
        direct · owns 50% to 75%
      • G•• V•••••• C••• L•• · Owner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • A•• S••• F••• G•• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $265M to $283M
        Nov 4, 2022 to Mar 1, 2023
      • Non-discretionary RAUM · $20.8M to $36.6M
        Nov 4, 2022 to Mar 1, 2023
      • Pooled vehicle RAUM · $265M to $283M
        Nov 4, 2022 to Mar 1, 2023
      • RAUM · $286M to $319M
        Nov 4, 2022 to Mar 1, 2023
      • Assets in custody · $9.3M to $20.8M
        Oct 29, 2021 to Apr 1, 2022
      • Discretionary RAUM · $256M to $265M
        Oct 29, 2021 to Apr 1, 2022
      • Pooled vehicle RAUM · $256M to $265M
        Oct 29, 2021 to Apr 1, 2022
      • RAUM · $276M to $286M
        Oct 29, 2021 to Apr 1, 2022
      • Accounts · 2 to 3
        May 11, 2021 to Oct 29, 2021
      • Advisory activities · 1 to 2
        May 11, 2021 to Oct 29, 2021
      • Employees · 5 to 6
        May 11, 2021 to Oct 29, 2021
      • Other offices · 1 to 0
        May 11, 2021 to Oct 29, 2021
      • Discretionary RAUM · $210M to $256M
        May 11, 2021 to Oct 29, 2021
      • Non-discretionary RAUM · $0 to $20.8M
        May 11, 2021 to Oct 29, 2021
      • Pooled vehicle RAUM · $210M to $256M
        May 11, 2021 to Oct 29, 2021
      • RAUM · $210M to $276M
        May 11, 2021 to Oct 29, 2021
      Signals
      2 dated events
      • Joseph Erik Dolan (Chief Compliance Officer) appeared on Schedule A of A••••••••• C•••••• P•••••••• L••
        Oct 29, 2021 · Control person joined · fact
      • A••••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 4, 2021 · 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