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Former SEC-registered adviser

Z••••• I••••••••• I•••

Former SEC-registered adviserCRD 314708SEC 801-122322IAPD
Latest filing Mar 19, 2024
First filing on the tape Aug 16, 2021 · 14 filings
SEC status approved since Sep 20, 2021
RAUM
$10.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$10.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$10.9M as of Mar 19, 2024
Mar 8, 2022$0 then
HNW client RAUM$0 as of Mar 19, 2024
Mar 8, 2022$0 then
State-registered IARs (5.B.3)1 as of Mar 19, 2024
Mar 8, 20221 then
Employees (5.A)3 as of Mar 19, 2024
Mar 8, 20222 then
Private funds: no history
RAUM +56% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2024; every figure names its basis
RAUM per advisor
$10.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
5derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+56%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+67%derived
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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$10.9M100%
Individual clients
5reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • H••••••• M•• M•••••• · Chief Compliance Officercontrol
      since 12/2023 · owns less than 5%
    • I••••• R•••• •••• · Founder & Presidentcontrol
      since 04/2021 · owns 75% or more of L•• V•••••• I•••
    Entity owners
    • L•• V•••••• I••• · Shareholder
      direct · 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
    • Accounts · 3 to 5
      Feb 7, 2024 to Mar 19, 2024
    • Individual clients · 3 to 5
      Feb 7, 2024 to Mar 19, 2024
    • Discretionary RAUM · $7.0M to $10.9M
      Feb 7, 2024 to Mar 19, 2024
    • Individual RAUM · $7.0M to $10.9M
      Feb 7, 2024 to Mar 19, 2024
    • RAUM · $7.0M to $10.9M
      Feb 7, 2024 to Mar 19, 2024
    • Employees · 2 to 3
      Sep 18, 2023 to Feb 7, 2024
    • Wrap assets (manager) · 0.0 to unset
      May 17, 2023 to Sep 18, 2023
    • Wrap assets (sponsor) · 0.0 to unset
      May 17, 2023 to Sep 18, 2023
    • Corporate clients · 1 to 0
      Sep 2, 2022 to Mar 23, 2023
    • HNW clients · 1 to 0
      Sep 2, 2022 to Mar 23, 2023
    • Individual clients · 1 to 3
      Sep 2, 2022 to Mar 23, 2023
    • Discretionary RAUM · $11.7M to $7.0M
      Sep 2, 2022 to Mar 23, 2023
    • HNW RAUM · $9.6M to $0
      Sep 2, 2022 to Mar 23, 2023
    • Individual RAUM · $202,062 to $7.0M
      Sep 2, 2022 to Mar 23, 2023
    • RAUM · $11.7M to $7.0M
      Sep 2, 2022 to Mar 23, 2023
    • Accounts · 0 to 3
      Jul 13, 2022 to Sep 2, 2022
    • Corporate clients · 0 to 1
      Jul 13, 2022 to Sep 2, 2022
    • HNW clients · 0 to 1
      Jul 13, 2022 to Sep 2, 2022
    • Individual clients · 0 to 1
      Jul 13, 2022 to Sep 2, 2022
    • Discretionary RAUM · $0 to $11.7M
      Jul 13, 2022 to Sep 2, 2022
    • HNW RAUM · $0 to $9.6M
      Jul 13, 2022 to Sep 2, 2022
    • Individual RAUM · $0 to $202,062
      Jul 13, 2022 to Sep 2, 2022
    • RAUM · $0 to $11.7M
      Jul 13, 2022 to Sep 2, 2022
    • Charity clients · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • Corporate clients · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • HNW clients · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • Individual clients · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • Pension plan clients · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • Pooled vehicle clients · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • HNW RAUM · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • Individual RAUM · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • Pension RAUM · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • Pooled vehicle RAUM · unset to 0.0
      Sep 8, 2021 to Mar 8, 2022
    • Business name · L•• I••••••••• I••• to Z••••• I••••••••• I•••
      Aug 16, 2021 to Aug 16, 2021
    • Legal name · L•• I••••••••• I••• to Z••••• I••••••••• I•••
      Aug 16, 2021 to Aug 16, 2021
    Signals
    5 dated events
    • Z••••• I••••••••• I••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $10.9M)
      Mar 6, 2025 · Left the SEC roster · derived
    • M•••••• Md H•••••• (Chief Compliance Officer) appeared on Schedule A of Z••••• I••••••••• I•••
      Feb 7, 2024 · Control person joined · fact
    • M•••••• G••••• S•••• (Chief Compliance Officer) no longer on Schedule A of Z••••• I••••••••• I••• (listed 2022-07-13, absent 2022-09-02)
      Sep 2, 2022 · Control person left · inference
    • G••••• M•••••• S•••• left Z••••• I••••••••• I••• for S••••••••• A•••• M••••••••• L•• (registered 2024-06-11)
      Aug 29, 2022 · Advisor changed firm · fact
    • L•• I••••••••• I••• filed its initial SEC registration (Form ADV)
      Aug 16, 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