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Former SEC-registered adviser

F•• P•••••••• L••

Former SEC-registered adviserAtlanta, GeorgiaCRD 41554SEC 801-79712IAPD
Latest filing Apr 28, 2016
First filing on the tape Feb 27, 2012 · 11 filings
RAUM
$73.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$73.0M as of Mar 22, 2016
Feb 27, 2012$29.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2016
Feb 27, 20120 then
Employees (5.A)2 as of Mar 22, 2016
Feb 2, 20152 then
Private funds: 1
RAUM -20% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2016; 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
$36.5MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-20%derivedbetween 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 individualsreportedItem 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)
  • buys or sells securities as principal to or from clients (8.A.2)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••• S••••••• F••• L•no longer reportedPrivate Equity Fund$200,0003Oct 2, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• G••• R• · Ownercontrol
        since 06/2009 · owns 10% to 25%
      • H••••••• G••••••• M••••• · Managing Principalcontrol
        since 06/2003 · owns 10% to 25%
      • M••••••• C••••••••• W•••••• · Ownercontrol
        since 12/2003 · owns 10% to 25%
      • C•••••••• T•••••• R•••• · Owner
        since 09/2005 · owns 5% to 10%
      • D••••••• R••••• L•••• · Owner
        since 07/2003 · owns less than 5%
      • G••••• M•••••• · Owner
        since 06/2003 · owns 5% to 10%
      • J••••• L••••• B••••••• · Chief Compliance Officer Finop Cfo
        since 06/2005 · owns less than 5%
      • L••••••• E••• B•••• · Owner
        since 02/2005 · owns less than 5%
      • M•••• T•••••• B•••••• · Owner
        since 06/2003 · owns 10% to 25%
      • V•••••• M•••••• F•••••• X••••• · Owner
        since 05/2006 · owns 5% to 10%
      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
      • Private funds · 1 to unset
        Feb 2, 2015 to Mar 22, 2016
      • Non-discretionary RAUM · $91.2M to $73.0M
        Feb 2, 2015 to Mar 22, 2016
      • RAUM · $91.2M to $73.0M
        Feb 2, 2015 to Mar 22, 2016
      • Accounts · 3 to 2
        Oct 2, 2014 to Feb 2, 2015
      • Discretionary RAUM · $200,000 to $0
        Oct 2, 2014 to Feb 2, 2015
      • Non-discretionary RAUM · $115M to $91.2M
        Oct 2, 2014 to Feb 2, 2015
      • RAUM · $115M to $91.2M
        Oct 2, 2014 to Feb 2, 2015
      • Accounts · 59 to 3
        Jun 17, 2014 to Oct 2, 2014
      • Advisory employees · 3 to 2
        Jun 17, 2014 to Oct 2, 2014
      • Advisory activities · 3 to 2
        Jun 17, 2014 to Oct 2, 2014
      • BD registered reps · 3 to 2
        Jun 17, 2014 to Oct 2, 2014
      • Employees · 3 to 2
        Jun 17, 2014 to Oct 2, 2014
      • Financial planning clients · 0 to unset
        Jun 17, 2014 to Oct 2, 2014
      • State-registered IARs · 1 to 0
        Jun 17, 2014 to Oct 2, 2014
      • Private funds · unset to 1
        Jun 17, 2014 to Oct 2, 2014
      • Discretionary RAUM · $23.6M to $200,000
        Jun 17, 2014 to Oct 2, 2014
      • RAUM · $138M to $115M
        Jun 17, 2014 to Oct 2, 2014
      • Accounts · 43 to 59
        Jun 4, 2012 to Apr 30, 2014
      • Advisory employees · unset to 3.0
        Jun 4, 2012 to Apr 30, 2014
      • Advisory activities · 2 to 3
        Jun 4, 2012 to Apr 30, 2014
      • BD registered reps · unset to 3.0
        Jun 4, 2012 to Apr 30, 2014
      • Employees · unset to 3.0
        Jun 4, 2012 to Apr 30, 2014
      • State-registered IARs · 0 to 1
        Jun 4, 2012 to Apr 30, 2014
      • Discretionary RAUM · $29.0M to $23.6M
        Jun 4, 2012 to Apr 30, 2014
      • Non-discretionary RAUM · $0 to $115M
        Jun 4, 2012 to Apr 30, 2014
      • RAUM · $29.0M to $138M
        Jun 4, 2012 to Apr 30, 2014
      Signals
      1 dated events
      • F•• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 30, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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