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L••• I••••• F•••••••• G••••• I••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $36.5M of regulatory assets.

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

Last reported RAUM
$36.5M
Form ADV
Private clients
100%
of RAUM, $36.5M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 31148 · SEC 801-130406 · 8 filingsShow
CRD 31148SEC 801-130406Legal name L••• I••••• F•••••••• G••••• I•••First filing on the tape May 3, 2024, latest Jul 10, 2024SEC status approved since May 31, 2024IAPD
RAUM
$36.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$36.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape

Filed figures over time · the tape starts May 3, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$36.5M as of Jul 10, 2024
May 14, 2024$36.5M then
HNW client RAUM$21.8M as of Jul 10, 2024
May 14, 2024$21.8M then
State-registered IARs (5.B.3)0 as of Jul 10, 2024
May 3, 20240 then
Employees (5.A)2 as of Jul 10, 2024
May 3, 20242 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 10, 2024; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$2.0MderivedHNW RAUM over HNW clients
Average account
$264,710derivedRAUM 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 office 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 assetsreportedItem 5.E
Advisory activities
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing

60% high-net-worth individuals, 40% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$21.8M60%
  • Individuals$14.7M40%
Individual clients
127reported
HNW clients
11reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
138reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Where they went: the top destinations among the 1 most recent departures on the tape
Joined, latest
none on the tape
    Every departureEvery arrival
    Advisors registered through the firm
    0 on IAPD today; the longest tenured first
    No representative is registered through this CRD on IAPD.
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••• S••••• · President/Chief Compliance Officer/Finop Principlecontrol
      since 12/1992 · owns 75% or more
    Related persons
    Schedule D 7.A
    • L••• I••••• F•••••••• G••••• I•••
      broker-dealery
    • S••••• R•••
      insurancey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Roslyn, Ny000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · unset to 138.0
      May 3, 2024 to May 14, 2024
    • Advisory employees · 0 to 1
      May 3, 2024 to May 14, 2024
    • Charity clients · unset to 0.0
      May 3, 2024 to May 14, 2024
    • Corporate clients · unset to 0.0
      May 3, 2024 to May 14, 2024
    • HNW clients · unset to 11.0
      May 3, 2024 to May 14, 2024
    Full history · 15 changes
    • Individual clients · unset to 127.0
      May 3, 2024 to May 14, 2024
    • Pension plan clients · unset to 0.0
      May 3, 2024 to May 14, 2024
    • Pooled vehicle clients · unset to 0.0
      May 3, 2024 to May 14, 2024
    • Discretionary RAUM · unset to 36530034.0
      May 3, 2024 to May 14, 2024
    • HNW RAUM · unset to 21785215.0
      May 3, 2024 to May 14, 2024
    • Individual RAUM · unset to 14744819.0
      May 3, 2024 to May 14, 2024
    • Non-discretionary RAUM · unset to 0.0
      May 3, 2024 to May 14, 2024
    • Pension RAUM · unset to 0.0
      May 3, 2024 to May 14, 2024
    • Pooled vehicle RAUM · unset to 0.0
      May 3, 2024 to May 14, 2024
    • RAUM · unset to 36530034.0
      May 3, 2024 to May 14, 2024
    Signals
    3 dated events
    • ••• Locked
      Dec 20, 2025 · Left the SEC roster · derived
    • ••• Locked
      Sep 17, 2025 · Advisor changed firm · fact
    • ••• Locked
      May 3, 2024 · 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
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    Not computedderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026