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Former SEC-registered adviser

S•••••••• I••••••••• S••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 37216SEC 801-70715IAPD
Latest filing Dec 18, 2019
First filing on the tape Jan 17, 2012 · 44 filings
RAUM
n/a
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
n/a
derived; firm RAUM over IAPD count
Employees
170
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$1.7B as of Mar 27, 2019
Mar 29, 2012$231M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 29, 20120 then
Employees (5.A)160 as of Mar 27, 2019
Apr 1, 2013115 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 18, 2019; every figure names its basis
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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+69%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 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
  • is a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• T••••• M•••• A•••••• · President And Chief Executive Officer; Member, Board Of Directorscontrol
        since 04/2018 · owns less than 5%
      • F••••••• A••• H•••• · Member, Board Of Directors (Board Chairman; Non-Employee Director)control
        since 03/2017 · owns less than 5%
      • G•••• C••••• H••••• B••• · Member, Board Of Directors (Non-Employee Director)control
        since 11/2018 · owns less than 5%
      • L••••••• M•••••• · Member, Board Of Directors (Non-Employee Director)control
        since 06/2017 · owns less than 5%
      • M••••••••• J••••• · Member, Board Of Directors (Non-Employee Director)control
        since 12/2015 · owns less than 5%
      • M••• Y••••••• · Chief Compliance Officercontrol
        since 05/2019 · owns less than 5%
      • M•••• E•••••• F•••• · Chief Financial Officercontrol
        since 07/2019 · owns less than 5%
      Entity owners
      • S•••••••• H••••••• U••• I••• · Direct Owner
        direct · owns 75% or more · public reporting company
      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
      • Accounts · 1.0 to unset
        Aug 6, 2019 to Dec 18, 2019
      • Advisory employees · 9 to 0
        Aug 6, 2019 to Dec 18, 2019
      • Advisory activities · 2 to 1
        Aug 6, 2019 to Dec 18, 2019
      • Employees · 160 to 170
        Aug 6, 2019 to Dec 18, 2019
      • Discretionary RAUM · 1669200000.0 to unset
        Aug 6, 2019 to Dec 18, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Aug 6, 2019 to Dec 18, 2019
      • RAUM · 1669200000.0 to unset
        Aug 6, 2019 to Dec 18, 2019
      • Related adviser · false to true
        Aug 6, 2019 to Dec 18, 2019
      • BD registered reps · 112 to 122
        Jan 15, 2019 to Mar 27, 2019
      • Employees · 144 to 160
        Jan 15, 2019 to Mar 27, 2019
      • Discretionary RAUM · $988M to $1.7B
        Jan 15, 2019 to Mar 27, 2019
      • RAUM · $988M to $1.7B
        Jan 15, 2019 to Mar 27, 2019
      • Advisory employees · 8 to 9
        Jul 12, 2017 to Mar 28, 2018
      • BD registered reps · 96 to 112
        Jul 12, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Jul 12, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Jul 12, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Jul 12, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Jul 12, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Jul 12, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Jul 12, 2017 to Mar 28, 2018
      • Employees · 126 to 144
        Jul 12, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Jul 12, 2017 to Mar 28, 2018
      • Discretionary RAUM · $702M to $988M
        Jul 12, 2017 to Mar 28, 2018
      • RAUM · $702M to $988M
        Jul 12, 2017 to Mar 28, 2018
      • BD registered reps · 109 to 96
        Aug 15, 2016 to Mar 30, 2017
      • Employees · 133 to 126
        Aug 15, 2016 to Mar 30, 2017
      • Discretionary RAUM · $878M to $702M
        Aug 15, 2016 to Mar 30, 2017
      • RAUM · $878M to $702M
        Aug 15, 2016 to Mar 30, 2017
      • Advisory employees · 15 to 8
        Jan 25, 2016 to Mar 30, 2016
      • BD registered reps · 15 to 109
        Jan 25, 2016 to Mar 30, 2016
      • Employees · 140 to 133
        Jan 25, 2016 to Mar 30, 2016
      • Discretionary RAUM · $556M to $878M
        Jan 25, 2016 to Mar 30, 2016
      • RAUM · $556M to $878M
        Jan 25, 2016 to Mar 30, 2016
      • Employees · 115 to 140
        Feb 26, 2015 to Mar 30, 2015
      • Discretionary RAUM · $523M to $556M
        Feb 26, 2015 to Mar 30, 2015
      • RAUM · $523M to $556M
        Feb 26, 2015 to Mar 30, 2015
      • Accounts · 2 to 1
        Dec 19, 2013 to Mar 31, 2014
      • Discretionary RAUM · $231M to $523M
        Dec 19, 2013 to Mar 31, 2014
      • RAUM · $231M to $523M
        Dec 19, 2013 to Mar 31, 2014
      • Accounts · 1 to 2
        Mar 20, 2013 to Apr 1, 2013
      Signals
      11 dated events
      • ••• Locked
        Aug 6, 2019 · Control person joined · fact
      • ••• Locked
        Aug 6, 2019 · Control person left · inference
      • ••• Locked
        Jun 19, 2019 · Control person joined · fact
      • ••• Locked
        Jun 19, 2019 · Control person left · inference
      • ••• Locked
        Apr 12, 2019 · Control person joined · fact
      • ••• Locked
        Apr 12, 2019 · Control person left · inference
      • ••• Locked
        Mar 27, 2019 · RAUM change · derived
      • ••• Locked
        Jan 15, 2019 · Control person left · inference
      • ••• Locked
        Jan 15, 2019 · Control person left · inference
      • ••• Locked
        Jan 15, 2019 · Control person joined · fact
      • ••• Locked
        Mar 28, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026