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Former SEC-registered adviser

S•••••• P•••••••

Former SEC-registered adviserCRD 338282SEC 801-134464websiteIAPD
Legal name S•••••• P••••••• I•••
Latest filing Feb 23, 2026
First filing on the tape Nov 6, 2025 · 4 filings
SEC status 120-day approval since Sep 29, 2025
RAUM
$10.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$10.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$5.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$10.5M as of Feb 23, 2026
Nov 6, 2025$0 then
HNW client RAUM$2.4M as of Feb 23, 2026
Jan 28, 2026$2.4M then
State-registered IARs (5.B.3)1 as of Feb 23, 2026
Nov 6, 20251 then
Employees (5.A)3 as of Feb 23, 2026
Nov 6, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
RAUM per advisor
$5.2MderivedRAUM 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
$227,583derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$12.5M, 40 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$8.1M77%
  • High-net-worth individuals$2.4M23%
Individual clients
45reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
46reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$12.5M for 40 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••••••• F••••••• M•••••Apollo Beach, FlOct 1, 202518 y0
J•••• R•••••• T•••••••Apollo Beach, FlNov 14, 202542 y3
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Joined, latest
Every departureEvery arrival
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.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Apollo Beach, Fl220
Sunny Isles Beach, Fl001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Assets in custody · unset to 12500000.0
    Jan 28, 2026 to Feb 23, 2026
  • Custody of client assets · false to true
    Jan 28, 2026 to Feb 23, 2026
  • Accounts · 0 to 46
    Dec 26, 2025 to Jan 28, 2026
  • Advisory employees · 2 to 3
    Dec 26, 2025 to Jan 28, 2026
  • Individual clients · unset to 45.0
    Dec 26, 2025 to Jan 28, 2026
  • Employees · 4 to 3
    Dec 26, 2025 to Jan 28, 2026
  • State-registered IARs · 2 to 1
    Dec 26, 2025 to Jan 28, 2026
  • Discretionary RAUM · $0 to $10.5M
    Dec 26, 2025 to Jan 28, 2026
  • HNW RAUM · unset to 2409884.0
    Dec 26, 2025 to Jan 28, 2026
  • Individual RAUM · unset to 8058915.0
    Dec 26, 2025 to Jan 28, 2026
  • RAUM · $0 to $10.5M
    Dec 26, 2025 to Jan 28, 2026
  • Advisory employees · 1 to 2
    Nov 6, 2025 to Dec 26, 2025
  • Employees · 1 to 4
    Nov 6, 2025 to Dec 26, 2025
  • State-registered IARs · 1 to 2
    Nov 6, 2025 to Dec 26, 2025
  • Other offices · 0 to 1
    Nov 6, 2025 to Dec 26, 2025
Signals
2 dated events
  • S•••••• P••••••• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $10.5M)
    Jun 1, 2026 · Left the SEC roster · derived
  • C••••••••• J•••• L••••• left S•••••• P••••••• for T••••• P•••••• W•••••• L•• (registered 2026-07-16)
    Apr 13, 2026 · Advisor changed firm · 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
s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
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
$5.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026