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A••••••• C•••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $345M of regulatory assets.

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

Regulatory AUM
$345M
Form ADV
Advisors
0
IAPD
Private clients
100%
of RAUM, $345M
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. New owner
    ownership and control

    1••• C•••••• P••••••• L•• appeared on Schedule A as an owner on 30 Mar 2026, with 2 other new entity owners.

    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 337864 · SEC 801-134396 · 3 filingsShow
CRD 337864SEC 801-134396First filing on the tape Dec 1, 2025, latest Mar 30, 2026SEC status approved since Dec 2, 2025IAPD
RAUM
$345M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$345M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape

Filed figures over time · the tape starts Dec 1, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$345M as of Mar 30, 2026
Dec 1, 2025$0 then
HNW client RAUM: $300M
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Dec 1, 20250 then
Employees (5.A)8 as of Mar 30, 2026
Dec 1, 20258 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
$75.0MderivedHNW RAUM over HNW clients
Average account
$69.0MderivedRAUM 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
unknownderived5 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 individuals, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing

87% high-net-worth individuals, 13% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$300M87%
  • Individuals$45.0M13%
Individual clients
1reported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 400% 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
      • C•••••••• S••••• J••••• · Chief Compliance Officercontrol
        since 04/2025 · owns less than 5%
      • E••••• L••••••• S•••••• · Chief Investment Officer / Managing Partnercontrol
        since 04/2025 · owns 10% to 25%
      • F•••••• J•••••• M••• · Chief Operating Officer / Managing Partnercontrol
        since 04/2025 · owns less than 5%
      • S•••••• C••••••• M••••• · Managing Partnercontrol
        since 04/2025 · owns 10% to 25%
      • B••••• N••••• · Managing Partner
        since 04/2025 · owns 10% to 25%
      All 6 control persons
      • G••••• M••••••• L•• · Managing Partner
        since 04/2025 · owns 10% to 25%
      Entity owners
      • 1••• C•••••• P••••••• L•• · Member
        direct · owns 25% to 50%
      • A•• I••••••••• H••••••• I• L•• · Member
        direct · owns less than 5%
      • S••••• I••••••••• A••••••• · Member
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      2 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Mar 30, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (5683 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: independent wealth managers, $100M to $500M (5,683) · 0.0% percentile
      • affiliate changedChange between filings · filing Mar 30, 2026
        broker-dealer affiliate (Item 7.A.1): no on the filing of 2026-02-10, yes on the filing of 2026-03-30
        peers: independent wealth managers, $100M to $500M (5,683)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 5
        Feb 10, 2026 to Mar 30, 2026
      • HNW clients · unset to 4.0
        Feb 10, 2026 to Mar 30, 2026
      • Individual clients · unset to 1.0
        Feb 10, 2026 to Mar 30, 2026
      • HNW RAUM · unset to 300000000.0
        Feb 10, 2026 to Mar 30, 2026
      • Individual RAUM · unset to 45000000.0
        Feb 10, 2026 to Mar 30, 2026
      Full history · 8 changes
      • Non-discretionary RAUM · $0 to $345M
        Feb 10, 2026 to Mar 30, 2026
      • RAUM · $0 to $345M
        Feb 10, 2026 to Mar 30, 2026
      • Related broker-dealer · false to true
        Feb 10, 2026 to Mar 30, 2026
      Signals
      1 dated events
      • ••• Locked
        Dec 1, 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 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
      Independent wealth managerderiveda 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.