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S•••••••• M•••••••• • M••••• C•••••• M••••••••• C•••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $38.2M of regulatory assets.

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

Last reported RAUM
$38.2M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+9.5%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 4 Form ADV filings for this adviser, the latest 12.9 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 7727 · SEC 801-14033 · 4 filingsShow
CRD 7727SEC 801-14033Legal name S••••••••• • M••••• C•••••• M••••••••• C••••First filing on the tape Dec 14, 2011, latest Dec 23, 2013IAPD
RAUM
$38.2M
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
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$38.2M as of Dec 23, 2013
Dec 14, 2011$39.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Dec 23, 2013
Dec 14, 20110 then
Employees (5.A)3 as of Dec 23, 2013
Jan 10, 20133 then
Private funds: no history
RAUM +9.5% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Dec 23, 2013; every figure names its basis
RAUM per advisor
$38.2MderivedRAUM 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
$7.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • 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)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • M••••••••• T••••• M•••••• · Vice Chairman, Directorcontrol
        since 11/1978 · owns less than 5%
      • S•••••••• J••• F• · Chairman, Director, Chief Compliance Officercontrol
        since 08/1978 · owns less than 5%
      • F••••• T••••• F•••••• · Treasurer, Finop
        since 08/1978 · owns less than 5%
      Entity owners
      • S••••••• M•••••••• • M••••• C•••••• M••••••••• C• · Parent Co
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list S•••••••• M•••••••• • M••••• C•••••• M••••••••• C••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 5
        Jan 10, 2013 to Dec 23, 2013
      • Financial planning clients · 1-10 to unset
        Jan 10, 2013 to Dec 23, 2013
      • Discretionary RAUM · $34.9M to $38.2M
        Jan 10, 2013 to Dec 23, 2013
      • RAUM · $34.9M to $38.2M
        Jan 10, 2013 to Dec 23, 2013
      • Employees · unset to 3.0
        Mar 14, 2012 to Jan 10, 2013
      • Accounts · 8 to 7
        Mar 14, 2012 to Jan 10, 2013
      • Advisory employees · unset to 2.0
        Mar 14, 2012 to Jan 10, 2013
      • BD registered reps · unset to 2.0
        Mar 14, 2012 to Jan 10, 2013
      • Financial planning clients · 11-25 to 1-10
        Mar 14, 2012 to Jan 10, 2013
      • State-registered IARs · 0 to 1
        Mar 14, 2012 to Jan 10, 2013
      • Discretionary RAUM · $41.8M to $34.9M
        Mar 14, 2012 to Jan 10, 2013
      • RAUM · $41.8M to $34.9M
        Mar 14, 2012 to Jan 10, 2013
      • Related adviser · false to true
        Mar 14, 2012 to Jan 10, 2013
      • Accounts · 11 to 8
        Dec 14, 2011 to Mar 14, 2012
      • Discretionary RAUM · $39.5M to $41.8M
        Dec 14, 2011 to Mar 14, 2012
      • RAUM · $39.5M to $41.8M
        Dec 14, 2011 to Mar 14, 2012
      Signals
      No event on the tape.
      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