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Former SEC-registered adviser

N••• A• R••• C•• I••••••••• A••••••

Former SEC-registered adviserCRD 331048SEC 801-130556IAPD
Legal name R••• N•••
Latest filing Jun 10, 2024
First filing on the tape May 28, 2024 · 3 filings
RAUM
$8.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$8.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$8.3M
derived; firm RAUM over IAPD count
Employees
1
1 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$8.3M as of Jun 10, 2024
May 28, 2024$8.0M then
HNW client RAUM$7.1M as of Jun 10, 2024
May 28, 2024$6.7M then
State-registered IARs (5.B.3)1 as of Jun 10, 2024
May 28, 20241 then
Employees (5.A)1 as of Jun 10, 2024
May 28, 20241 then
Private funds: no history
Practice profile
derived from the filing of Jun 10, 2024; every figure names its basis
RAUM per advisor
$8.3MderivedRAUM 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
$1.4MderivedRAUM 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
1.0derivedItem 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
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • High-net-worth individuals$7.1M86%
  • Individuals$1.2M14%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
N••• A•••• R••Chartered Financial AnalystPortland, OrNov 1, 202435 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••• N•••• A•••• · Founder, Sole Ownercontrol
      since 01/2024 · 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
    • HNW RAUM · $6.7M to $7.1M
      Jun 6, 2024 to Jun 10, 2024
    • Individual RAUM · $1.3M to $1.2M
      Jun 6, 2024 to Jun 10, 2024
    • Non-discretionary RAUM · $8.0M to $8.3M
      Jun 6, 2024 to Jun 10, 2024
    • RAUM · $8.0M to $8.3M
      Jun 6, 2024 to Jun 10, 2024
    Signals
    1 dated events
    • N••• A• R••• C•• I••••••••• A•••••• filed its initial SEC registration (Form ADV)
      May 28, 2024 · 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
    $8.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026