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J•• A••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $26.6M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$26.6M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
Private clients
100%
of RAUM, $26.6M
See where advisers wentSee teams that moved
More
Advisors (1)Where 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 312126 · SEC 801-136728 · 1 filingShow
CRD 312126SEC 801-136728First filing on the tape Jul 15, 2026, latest Jul 15, 2026SEC status approved since Jul 13, 2026IAPD
RAUM
$26.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$26.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$26.6M
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
1 filing and snapshots on the tape

Filed figures over time · the tape starts Jul 15, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: $26.6M
HNW client RAUM: $26.0M
State-registered IARs (5.B.3): 1
Employees (5.A): 1
Private funds: no history
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$26.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
14derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.2MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assets, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

98% high-net-worth individuals, 2.2% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$26.0M98%
  • Individuals$581,6192.2%
Individual clients
9reported
HNW clients
5reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
24reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      J••• P• S•••••Brooklyn, NyFeb 2, 202113 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• J•••• P• · Managing Member/Chief Compliance Officercontrol
        since 10/2020 · owns 75% or more
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      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
      One filing, no change to show.
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Jul 15, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jul 15, 2026
      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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $26.6Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: RAUM change, 1 year.