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Former SEC-registered adviser

S••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserCambridge, MassachusettsCRD 323174SEC 801-126656IAPD
Latest filing Jan 31, 2023
First filing on the tape Aug 30, 2022 · 3 filings
RAUM
$224,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$224,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$224,000 as of Jan 31, 2023
Aug 30, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 31, 2023
Aug 30, 20220 then
Employees (5.A)10 as of Jan 31, 2023
Aug 30, 20221 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 31, 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
$8,615derivedRAUM 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
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
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$224,000reportedItem 5.I
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)
  • a related person has custody of client cash (9.B.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$224,000100%
Individual clients
26reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
26reported
Financial planning clients
11-25reported
Wrap fee programs
$224,000 sponsored, $0 managedreported
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
      • T•••••• C••••••••• J•••• · Ctocontrol
        since 08/2022 · owns less than 5%
      • W•••••• J••••••• A••• · Coo / Ccocontrol
        since 08/2022 · owns less than 5%
      • Z••••••••• S•••••• H•• · Ceocontrol
        since 08/2022 · owns less than 5%
      Entity owners
      • S••••••• F••••••••• I••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • S••••••• F••••••••• I•••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 26
        Sep 29, 2022 to Jan 31, 2023
      • Advisory employees · 0 to 4
        Sep 29, 2022 to Jan 31, 2023
      • Individual clients · 0 to 26
        Sep 29, 2022 to Jan 31, 2023
      • Employees · 1 to 10
        Sep 29, 2022 to Jan 31, 2023
      • Financial planning clients · 0 to 11-25
        Sep 29, 2022 to Jan 31, 2023
      • Discretionary RAUM · $0 to $224,000
        Sep 29, 2022 to Jan 31, 2023
      • Individual RAUM · unset to 224000.0
        Sep 29, 2022 to Jan 31, 2023
      • RAUM · $0 to $224,000
        Sep 29, 2022 to Jan 31, 2023
      • Wrap assets (sponsor) · $0 to $224,000
        Sep 29, 2022 to Jan 31, 2023
      Signals
      1 dated events
      • S••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 30, 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