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Former SEC-registered adviser

A••••• A•••• P•••••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 323962SEC 801-128698IAPD
Latest filing Mar 25, 2024
First filing on the tape Aug 7, 2023 · 2 filings
SEC status approved since Sep 6, 2023
RAUM
$168M
reported, Item 5.F
Discretionary
0.0%
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
15
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$168M as of Mar 25, 2024
Aug 7, 2023$151M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2024
Aug 7, 20230 then
Employees (5.A)15 as of Mar 25, 2024
Aug 7, 202315 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 25, 2024; 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
$84.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$168M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
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
      • K••• S•••••• S•••••• · Chief Financial Officer; Chief Compliance Officercontrol
        since 10/2022 · owns less than 5%
      • L••••••• C••••••••• J•••• · Managercontrol
        since 10/2022 · owns less than 5%
      • M••••••• J•••••• E•••• · Managercontrol
        since 10/2022 · owns less than 5%
      • W•••• K••••• M•••••• · Managercontrol
        since 10/2022 · owns less than 5%
      • L••••••• C••••••••• J•••• · Membercontrol
        since 10/2022 · owns F of C••• H•••••••• L••
      • M••••••• J•••••• E•••• · Membercontrol
        since 10/2022 · owns F of G•••• V••••••• L••
      • W•••• K••••• M•••••• · Membercontrol
        since 10/2022 · owns 75% or more of A••• 2•••••• L••
      Entity owners
      • A••• 2•••••• L•• · Member
        direct · owns 75% or more
      • C••• H•••••••• L•• · Member
        direct · owns 10% to 25%
      • G•••• V••••••• L•• · Member
        direct · owns 10% to 25%
      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
      • Non-discretionary RAUM · $151M to $168M
        Aug 7, 2023 to Mar 25, 2024
      • RAUM · $151M to $168M
        Aug 7, 2023 to Mar 25, 2024
      Signals
      2 dated events
      • A••••• A•••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $168.0M)
        May 2, 2025 · Left the SEC roster · derived
      • A••••• A•••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 7, 2023 · 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