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Former SEC-registered adviser

A•• A•••••• L••

Former SEC-registered adviserWest Palm Beach, FloridaCRD 318888SEC 801-123456IAPD
Latest filing May 24, 2022
First filing on the tape Feb 14, 2022 · 2 filings
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$110M as of May 24, 2022
Feb 14, 2022$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 24, 2022
Feb 14, 20220 then
Employees (5.A)25 as of May 24, 2022
Feb 14, 202220 then
Private funds: no history
Practice profile
derived from the filing of May 24, 2022; 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
$110MderivedRAUM 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
unknownderived3 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
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • B•••••• B••••••• D•••• · Presidentcontrol
        since 12/2021 · owns 5% to 10%
      • F•••••••• R••••• E•••• · Membercontrol
        since 12/2021 · owns 5% to 10%
      • K•••• G••••••• A•••• · Chief Compliance Officercontrol
        since 12/2021 · owns less than 5%
      • K••••••• B••••• H•••• · Chief Financial Officercontrol
        since 12/2021 · owns less than 5%
      • T••••••••• L••••••• M••• · Manager, Chief Executive Officercontrol
        since 12/2021 · owns 50% to 75%
      • B•••••• B••••••• D•••• · Trusteecontrol
        since 12/2021 · owns F of T••••••••• F••••• 2••• T••••
      • K••••••• J•••••••• G•••••• · Membercontrol
        since 12/2021 · owns 75% or more of J••••• L••
      • K•••• G••••••• A•••• · Trusteecontrol
        since 12/2021 · owns F of T••••••••• F••••• 2••• T••••
      Entity owners
      • J••••• L•• · Member
        direct · owns 10% to 25%
      • T••••••••• F••••• 2••• T•••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Bridgehampton, NY1 employees
      • Greenwich, CT1 employees
      What changed
      consecutive filings, newest first
      • Employees · 20 to 25
        Feb 14, 2022 to May 24, 2022
      Signals
      1 dated events
      • A•• A•••••• L•• filed its initial SEC registration (Form ADV)
        Feb 14, 2022 · 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