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Former SEC-registered adviser

F•••••• F••••••

Former SEC-registered adviserCRD 313009SEC 801-120693IAPD
Legal name O••••• I•••
Latest filing Mar 29, 2023
First filing on the tape Mar 3, 2021 · 5 filings
SEC status approved since Apr 2, 2021
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 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: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 7, 20220 then
Employees (5.A)0 as of Mar 29, 2023
Mar 7, 20220 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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••••••••• L•••• · Chief Compliance Officercontrol
        since 02/2021 · owns 50% to 75%
      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
      • Succession · true to false
        Mar 7, 2022 to Mar 29, 2023
      • HQ city · SEATTLE to unset
        Mar 26, 2021 to Mar 7, 2022
      • HQ state · WA to unset
        Mar 26, 2021 to Mar 7, 2022
      • Organization form · Limited Liability Company to Corporation
        Mar 26, 2021 to Mar 7, 2022
      • Succession · false to true
        Mar 26, 2021 to Mar 7, 2022
      Signals
      5 dated events
      • F•••••• F•••••• no longer on the SEC adviser roster (last listed 2026-07-01)
        Aug 3, 2026 · Left the SEC roster · derived
      • F•••••• F•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 7, 2022 · Succession (Item 4) · fact
      • A••••• S••••• (Chief Marketing Officer) no longer on Schedule A of F•••••• F•••••• (listed 2021-03-26, absent 2022-03-07)
        Mar 7, 2022 · Control person left · inference
      • B••• B•••••• (Chief Strategy Officer) no longer on Schedule A of F•••••• F•••••• (listed 2021-03-26, absent 2022-03-07)
        Mar 7, 2022 · Control person left · inference
      • F•••••• F•••••• filed its initial SEC registration (Form ADV)
        Mar 3, 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