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A•••• T••••••••• R•• L••

No RAUM reportedSEC-registered· New York, New Yorkwebsite

No RAUM reported, based in New York, New York.

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

Advisors
0
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

    A•••• T••••••••• L•• appeared on Schedule A as an owner on 3 Sep 2026.

    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 340245 · SEC 801-135624 · 4 filingsShow
CRD 340245SEC 801-135624First filing on the tape Mar 25, 2026, latest Sep 3, 2026SEC status 120-day approval since Mar 30, 2026IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
2 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

Filed figures over time · the tape starts Mar 25, 2026

Peer group: Other advisers, under $100M, 660 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$0 as of Jul 28, 2026
Mar 25, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 28, 2026
Mar 25, 20261 then
Employees (5.A)2 as of Jul 28, 2026
Mar 25, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 3, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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
subscriptionreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
2reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
RAUM: 0% private clients, 0% pooled funds, 0% institutions; related broker-dealer not reported; related bank not reportedderived
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
      • O•••••••• J••••• · Ceocontrol
        since 08/2025 · owns less than 5%
      • H•••• S•••• Y• · Chief Compliance Officer
        since 08/2025 · owns less than 5%
      Entity owners
      • A•••• T••••••••• L•• · Owner
        direct · owns 75% or more
      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
      • Advisory employees · 0 to 2
        Jul 28, 2026 to Sep 3, 2026
      • Financial planning clients · to unset
        Jul 28, 2026 to Sep 3, 2026
      • Related adviser · false to unset
        Jul 28, 2026 to Sep 3, 2026
      • Related bank · false to unset
        Jul 28, 2026 to Sep 3, 2026
      • Related broker-dealer · false to unset
        Jul 28, 2026 to Sep 3, 2026
      Full history · 11 changes
      • Related insurance company · false to unset
        Jul 28, 2026 to Sep 3, 2026
      • Succession · false to unset
        Jul 28, 2026 to Sep 3, 2026
      • Advisory employees · 1 to 0
        May 8, 2026 to Jul 28, 2026
      • Individual clients · unset to 2.0
        May 8, 2026 to Jul 28, 2026
      • State-registered IARs · 1 to 0
        May 8, 2026 to Jul 28, 2026
      • Individual RAUM · unset to 0.0
        May 8, 2026 to Jul 28, 2026
      Signals
      1 dated events
      • ••• Locked
        Mar 25, 2026 · 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 (2), Other link (1) · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Sep 3, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Sep 3, 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
      No RAUM reportedderiveda 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: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.