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Former SEC-registered adviser

A••• I•••••• I••••••••• A•••••••

Former SEC-registered adviserCRD 326879SEC 801-128324IAPD
Legal name A••• I•••••• I••••••••• A••••••• L••
Latest filing Mar 21, 2024
First filing on the tape Jun 13, 2023 · 5 filings
RAUM
$530,000
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$530,000 as of Mar 21, 2024
Jun 13, 2023$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 21, 2024
Jun 13, 20232 then
Employees (5.A)2 as of Mar 21, 2024
Jun 13, 20232 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 21, 2024; every figure names its basis
RAUM per advisor
$265,000derivedRAUM 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
$530,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$530,000100%
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 AUMreported
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••••• J•••••• · Cpocontrol
        since 03/2023 · owns 25% to 50%
      • T•••• Y••• · Ceo And Ccocontrol
        since 03/2023 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Reno, NV1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $250,000 to $530,000
        Oct 23, 2023 to Mar 21, 2024
      • RAUM · $250,000 to $530,000
        Oct 23, 2023 to Mar 21, 2024
      • Accounts · 0 to 1
        Jul 19, 2023 to Oct 23, 2023
      • Advisory activities · 2 to 3
        Jul 19, 2023 to Oct 23, 2023
      • Discretionary RAUM · $0 to $250,000
        Jul 19, 2023 to Oct 23, 2023
      • RAUM · $0 to $250,000
        Jul 19, 2023 to Oct 23, 2023
      Signals
      1 dated events
      • A••• I•••••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)
        Jun 13, 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