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Former SEC-registered adviserFormer SEC adviser· East Hampton, New York

Former SEC-registered adviser, based in East Hampton, New York, reporting $1.7B of regulatory assets.

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

Last reported RAUM
$1.7B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+2.2%
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
What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 3.3 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 311381 · SEC 801-120177 · 3 filingsShow
CRD 311381SEC 801-120177First filing on the tape Dec 17, 2020, latest Jun 20, 2023IAPD
RAUM
$1.7B
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$1.7B as of Jun 20, 2023
Mar 31, 2022$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 20, 2023
Mar 31, 20220 then
Employees (5.A)3 as of Jun 20, 2023
Mar 31, 20224 then
Private funds: no history
RAUM +2.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 20, 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
$1.7BderivedRAUM 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
+2.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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$1.7B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      • G••••••••• S•••• A•••• · Owner, Chief Compliance Officer And Presidentcontrol
        since 10/2020 · owns 75% or more
      Related persons
      Schedule D 7.A
      • A•••••• S• A••••••• G•••
        investment advisern
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        investment advisern
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        investment advisern
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      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Mar 31, 2022 to Jun 20, 2023
      • Employees · 4 to 3
        Mar 31, 2022 to Jun 20, 2023
      • Non-discretionary RAUM · $1.6B to $1.7B
        Mar 31, 2022 to Jun 20, 2023
      • RAUM · $1.6B to $1.7B
        Mar 31, 2022 to Jun 20, 2023
      • Advisory employees · 2 to 4
        Dec 17, 2020 to Mar 31, 2022
      • Employees · 2 to 4
        Dec 17, 2020 to Mar 31, 2022
      • Non-discretionary RAUM · $1.3B to $1.6B
        Dec 17, 2020 to Mar 31, 2022
      • RAUM · $1.3B to $1.6B
        Dec 17, 2020 to Mar 31, 2022
      Signals
      1 dated events
      • ••• Locked
        Dec 17, 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