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N•• A•••• M••••••••• L••

Other adviserSEC-registered· Purchase, New York

Other adviser, based in Purchase, New York, reporting $39.8M of regulatory assets.

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

Regulatory AUM
$39.8M
Advisors
0
Private clients
0.0%
of RAUM
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

    E••••• I••••••••• M••••••••• L•• appeared on Schedule A as an owner on 6 Aug 2026, with 1 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 341388 · SEC 801-136213 · 2 filingsShow
CRD 341388SEC 801-136213First filing on the tape Apr 27, 2026, latest Aug 6, 2026SEC status approved since May 8, 2026IAPD
RAUM
$39.8M
reported, Item 5.F
Discretionary
100%
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape

Filed figures over time · the tape starts Apr 27, 2026

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

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$39.8M as of Aug 6, 2026
Apr 27, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 6, 2026
Apr 27, 20260 then
Employees (5.A)3 as of Aug 6, 2026
Apr 27, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 6, 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
$19.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing

50% pooled investment vehicles, 50% corporations and businesses

The breakdown by client type, and the client counts2 client typesShow
  • Pooled investment vehicles$20.0M50%
  • Corporations and businesses$19.8M50%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 0% private clients, 50% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
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•••••• E•••••• B•••• · Ceo/Ciocontrol
        since 07/2024 · owns less than 5%
      Entity owners
      • E••••• I••••••••• M••••••••• L•• · Member
        direct · owns 50% to 75%
      • R•••••••• L•• · Member
        direct · owns 50% to 75%
      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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • business activity changedChange between filings · filing Aug 6, 2026
        advises private funds (Item 7.B): no on the filing of 2026-04-27, yes on the filing of 2026-08-06
        peers: other advisers, under $100M (660)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Pooled vehicle RAUM · unset to 20000000.0
        Apr 27, 2026 to Aug 6, 2026
      • RAUM · $0 to $39.8M
        Apr 27, 2026 to Aug 6, 2026
      • Accounts · 0 to 2
        Apr 27, 2026 to Aug 6, 2026
      • Pooled vehicle clients · unset to 1.0
        Apr 27, 2026 to Aug 6, 2026
      • Financial planning clients · 0 to 1-10
        Apr 27, 2026 to Aug 6, 2026
      Full history · 6 changes
      • Discretionary RAUM · $0 to $39.8M
        Apr 27, 2026 to Aug 6, 2026
      Signals
      1 dated events
      • ••• Locked
        Apr 27, 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Aug 6, 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.