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Former SEC-registered adviser

E•••• I•••••••• L••

Former SEC-registered adviserCRD 316259SEC 801-122644websiteIAPD
Latest filing Dec 20, 2023
First filing on the tape Oct 6, 2021 · 9 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
3
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
9 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 8, 2023
Mar 30, 20221 then
Employees (5.A)19 as of Mar 8, 2023
Mar 30, 202222 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Dec 20, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
25derivedindividual 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
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-55%derived
Compensation
subscriptionreportedItem 5.E
Advisory activities
publications, educational seminars, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
75reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
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
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
I••••• K•••• S••••••Indianapolis, In Feb 26, 202413 y0
M••••• D•• H•••••WoudrichemOct 30, 202412 y0
Y•••• C••La Puente, CaNov 14, 202511 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
      • S••••••• I•••••• K•••• · Chief Executive Officer & Chief Compliance Officercontrol
        since 01/2020 · 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
      • Advisory employees · 11 to 3
        Dec 12, 2023 to Dec 20, 2023
      • HNW clients · 25 to 0
        Dec 12, 2023 to Dec 20, 2023
      • Individual clients · 250 to 75
        Dec 12, 2023 to Dec 20, 2023
      • Employees · 19 to 3
        Dec 12, 2023 to Dec 20, 2023
      • State-registered IARs · 2 to 1
        May 15, 2023 to Sep 24, 2023
      • Advisory employees · 14 to 11
        May 6, 2022 to Mar 8, 2023
      • HNW clients · 60 to 25
        May 6, 2022 to Mar 8, 2023
      • Individual clients · 550 to 250
        May 6, 2022 to Mar 8, 2023
      • Employees · 22 to 19
        May 6, 2022 to Mar 8, 2023
      • State-registered IARs · 1 to 2
        May 6, 2022 to Mar 8, 2023
      • Advisory employees · 12 to 14
        Oct 26, 2021 to Mar 30, 2022
      • Employees · 16 to 22
        Oct 26, 2021 to Mar 30, 2022
      • Insurance-licensed employees · 1 to 0
        Oct 26, 2021 to Mar 30, 2022
      • State-registered IARs · 0 to 1
        Oct 26, 2021 to Mar 30, 2022
      Signals
      5 dated events
      • ••• Locked
        Dec 20, 2023 · Control person left · inference
      • ••• Locked
        Dec 20, 2023 · Control person left · inference
      • ••• Locked
        Dec 20, 2023 · Control person left · inference
      • ••• Locked
        Sep 24, 2023 · Control person left · inference
      • ••• Locked
        Oct 6, 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.
      How to reach
      public business contact points only, each with its source
      Website
      e•••••••••.comreportedpublic record, Form ADV, Jun 8, 2026
      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