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Former SEC-registered adviserFormer SEC adviser· San Juan, PR

Former SEC-registered adviser, based in San Juan, PR, reporting $1.3B of regulatory assets.

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

Last reported RAUM
$1.3B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-48%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 311371 · SEC 801-120030 · 5 filingsShow
CRD 311371SEC 801-120030First filing on the tape Nov 24, 2020, latest Mar 31, 2025SEC status approved since Jan 4, 2021IAPD
RAUM
$1.3B
reported, Item 5.F
Discretionary
0.0%
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
5 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2025
Mar 30, 2022$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 30, 20220 then
Employees (5.A)1 as of Mar 31, 2025
Mar 30, 20221 then
Private funds: no history
RAUM -48% over the last fiscal year-3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2025; 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
$675MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-48%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-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • Other investment advisers$1.3B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• P•••• S••••• · Sole Proprietor And Ccocontrol
        since 06/2020 · 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
      • Financial planning clients · 0 to 0
        Mar 29, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · $2.6B to $1.3B
        Mar 29, 2024 to Mar 31, 2025
      • RAUM · $2.6B to $1.3B
        Mar 29, 2024 to Mar 31, 2025
      • Accounts · 12 to 2
        Mar 31, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · $1.8B to $2.6B
        Mar 31, 2023 to Mar 29, 2024
      • RAUM · $1.8B to $2.6B
        Mar 31, 2023 to Mar 29, 2024
      • Accounts · 11 to 12
        Mar 30, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $1.5B to $1.8B
        Mar 30, 2022 to Mar 31, 2023
      • RAUM · $1.5B to $1.8B
        Mar 30, 2022 to Mar 31, 2023
      • Accounts · 13 to 11
        Nov 24, 2020 to Mar 30, 2022
      • Non-discretionary RAUM · $1.6B to $1.5B
        Nov 24, 2020 to Mar 30, 2022
      • RAUM · $1.6B to $1.5B
        Nov 24, 2020 to Mar 30, 2022
      Signals
      4 dated events
      • ••• Locked
        Apr 1, 2026 · Left the SEC roster · derived
      • ••• Locked
        Mar 31, 2025 · RAUM change · derived
      • ••• Locked
        Mar 29, 2024 · RAUM change · derived
      • ••• Locked
        Nov 24, 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