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Former SEC-registered adviser

S•••• M•••••

Former SEC-registered adviserCRD 322933SEC 801-126970websiteIAPD
Legal name S•••• M•••••• L••
Latest filing Mar 12, 2025
First filing on the tape Oct 31, 2022 · 5 filings
SEC status approved since Nov 30, 2022
RAUM
$0
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
4
1 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: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 12, 2025
Jan 31, 20231 then
Employees (5.A)4 as of Mar 12, 2025
Jan 31, 20234 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
21derivedindividual 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
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.0%derived
Compensation
fixed feesreportedItem 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
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
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
19reported
HNW clients
2reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • N••••••• R•••••• · President / Chief Compliance Officercontrol
        since 08/2022 · 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 · unset to 0.0
        Feb 29, 2024 to Mar 12, 2025
      • Individual clients · 18 to 19
        Feb 29, 2024 to Mar 12, 2025
      • HQ city · unset to
        Feb 29, 2024 to Mar 12, 2025
      • HQ state · unset to
        Feb 29, 2024 to Mar 12, 2025
      • Discretionary RAUM · unset to 0.0
        Feb 29, 2024 to Mar 12, 2025
      • Non-discretionary RAUM · unset to 0.0
        Feb 29, 2024 to Mar 12, 2025
      • RAUM · unset to 0.0
        Feb 29, 2024 to Mar 12, 2025
      • Individual clients · 23 to 18
        Jan 31, 2023 to Feb 29, 2024
      • Advisory employees · 7 to 1
        Oct 31, 2022 to Nov 7, 2022
      • Advisory activities · 3 to 1
        Oct 31, 2022 to Nov 7, 2022
      • HNW clients · 30 to 2
        Oct 31, 2022 to Nov 7, 2022
      • Individual clients · 650 to 23
        Oct 31, 2022 to Nov 7, 2022
      • Employees · 12 to 4
        Oct 31, 2022 to Nov 7, 2022
      Signals
      2 dated events
      • S•••• M••••• no longer on the SEC adviser roster (last listed 2025-05-02)
        Jun 2, 2025 · Left the SEC roster · derived
      • S•••• M••••• filed its initial SEC registration (Form ADV)
        Oct 31, 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