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Asset manager (funds and pooled vehicles)SEC-registered· Brooklyn, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in Brooklyn, New York, reporting $6.0M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$6.0M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
Private clients
0.0%
of RAUM
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 335459 · SEC 801-133836 · 5 filingsShow
CRD 335459SEC 801-133836First filing on the tape Jun 23, 2025, latest Jul 22, 2026SEC status approved since Jul 7, 2025IAPD
RAUM
$6.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.0M
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
5 filings and snapshots on the tape

Filed figures over time · the tape starts Jun 23, 2025

Peer group: Asset managers, under $100M, 329 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$6.0M as of Jul 22, 2026
Jun 23, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 22, 2026
Jun 23, 20250 then
Employees (5.A)1 as of Jul 22, 2026
Jun 23, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$6.0MderivedRAUM 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
$6.0MderivedRAUM 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
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% investment companies

The breakdown by client type, and the client counts1 client typesShow
  • Investment companies$6.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      S•••• L••• M•••••Brooklyn, NyAug 6, 202612 y1
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      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
      • Discretionary RAUM · $5.8M to $6.0M
        Sep 23, 2025 to Mar 17, 2026
      • RAUM · $5.8M to $6.0M
        Sep 23, 2025 to Mar 17, 2026
      • Accounts · 0 to 1
        Aug 21, 2025 to Sep 23, 2025
      • Discretionary RAUM · $0 to $5.8M
        Aug 21, 2025 to Sep 23, 2025
      • RAUM · $0 to $5.8M
        Aug 21, 2025 to Sep 23, 2025
      Signals
      1 dated events
      • ••• Locked
        Jun 23, 2025 · First SEC registration · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (1), LinkedIn company page (1), LinkedIn profile (1), X (Twitter) (1), Instagram (1), Other link (1) · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jul 22, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jul 22, 2026
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 24, 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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      $6.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: RAUM change, 1 year.