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RIA Intelligence

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1•• C•••••• P•••••••

Other adviserSEC-registered· New York, New Yorkwebsite

Other adviser, based in New York, New York, reporting $1.0B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$1.0B
Form ADV
Advisors
0
IAPD
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. 2 changes
    ownership and control

    0 control persons joined and 2 left Schedule A in the last 12 months.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
Every filed figure, and the identifiersCRD 332547 · SEC 801-133912 · 5 filingsShow
CRD 332547SEC 801-133912Legal name 1•• C•••••• P••••••• L••First filing on the tape Jul 23, 2024, latest Mar 31, 2026SEC status approved since Sep 17, 2025IAPD
RAUM
$1.0B
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
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

Filed figures over time · the tape starts Jul 23, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$1.0B as of Mar 31, 2026
Nov 27, 2025$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Nov 27, 20250 then
Employees (5.A)2 as of Mar 31, 2026
Nov 27, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$337MderivedRAUM over accounts (5.F.2.f)
Discretionary
55%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 office 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing

55% pooled investment vehicles, 45% corporations and businesses

The breakdown by client type, and the client counts2 client typesShow
  • Pooled investment vehicles$555M55%
  • Corporations and businesses$456M45%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 0% private clients, 55% pooled funds, 0% institutions; a related broker-dealer; no related bank; 200% of advisors also broker-dealer representativesderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• A••••••••• J•••• · Ccocontrol
        since 07/2024 · owns less than 5%
      • R•••• R•••••• · Ciocontrol
        since 07/2024 · owns less than 5%
      • T•••••• H••• · Ceocontrol
        since 06/2021 · 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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • affiliate changedChange between filings · filing Mar 31, 2026
        broker-dealer affiliate (Item 7.A.1): no on the filing of 2025-11-27, yes on the filing of 2026-03-31
        peers: other advisers, $1B to $5B (248)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Nov 27, 2025 to Mar 31, 2026
      • BD registered reps · 1 to 2
        Nov 27, 2025 to Mar 31, 2026
      • Pooled vehicle clients · unset to 2.0
        Nov 27, 2025 to Mar 31, 2026
      • Discretionary RAUM · $1.3B to $555M
        Nov 27, 2025 to Mar 31, 2026
      • Non-discretionary RAUM · $0 to $456M
        Nov 27, 2025 to Mar 31, 2026
      Full history · 15 changes
      • Pooled vehicle RAUM · unset to 555469827.0
        Nov 27, 2025 to Mar 31, 2026
      • RAUM · $1.3B to $1.0B
        Nov 27, 2025 to Mar 31, 2026
      • Related broker-dealer · false to true
        Nov 27, 2025 to Mar 31, 2026
      • Accounts · 0 to 4
        Aug 26, 2024 to Nov 27, 2025
      • BD registered reps · 0 to 1
        Aug 26, 2024 to Nov 27, 2025
      • Financial planning clients · unset to
        Aug 26, 2024 to Nov 27, 2025
      • State-registered IARs · 1 to 0
        Aug 26, 2024 to Nov 27, 2025
      • Discretionary RAUM · $0 to $1.3B
        Aug 26, 2024 to Nov 27, 2025
      • RAUM · $0 to $1.3B
        Aug 26, 2024 to Nov 27, 2025
      • Related adviser · false to true
        Aug 26, 2024 to Nov 27, 2025
      Signals
      10 dated events
      • ••• Locked
        Mar 31, 2026 · Control person left · inference
      • ••• Locked
        Mar 31, 2026 · ria ownership band change · fact
      • ••• Locked
        Mar 31, 2026 · Control person left · inference
      • ••• Locked
        Mar 31, 2026 · ria indirect owner change · fact
      • ••• Locked
        Mar 31, 2026 · ria principal change · derived
      Full timeline · 10 events
      • ••• Locked
        Mar 31, 2026 · ria principal change · derived
      • ••• Locked
        Mar 31, 2026 · ria principal change · fact
      • ••• Locked
        Mar 31, 2026 · ria majority owner change · fact
      • ••• Locked
        Feb 3, 2025 · Left the SEC roster · derived
      • ••• Locked
        Jul 23, 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Other adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.