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Former SEC-registered adviser

A•••• D••••••••• M••••••••• C•••

Former SEC-registered adviserStamford, ConnecticutCRD 107124SEC 801-43760IAPD
Latest filing Apr 24, 2013
First filing on the tape Mar 30, 2012 · 3 filings
RAUM
$612M
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
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$36.6M gross assets
History
3 filings and snapshots on the tape
RAUM$612M as of Mar 28, 2013
Mar 30, 2012$578M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Mar 30, 20120 then
Employees (5.A): 6
Private funds2 as of Mar 28, 2013
Mar 30, 20122 then
RAUM +6.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 2013; 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
$68.0MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year
+6.0%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$16.4M, 1 clientsreportedItem 9.A
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)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$16.4M for 1 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••• A••••••• R••••• S••••••••• O••••••• I• L••Hedge Fund$20.2M3Mar 30, 2012
      A••• A••••••• R••••• S••••••••• L•Hedge Fund$16.4M20Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• R••••••• G••• · Managing Director/Chief Compliance Officercontrol
        since 01/2007 · owns 25% to 50%
      • G••••••• A•••••• D•••••• · Managing Directorcontrol
        since 01/2007 · owns 25% to 50%
      • G•••••• R•••••• J•••• · Managing Director
        since 03/2007 · owns less than 5%
      • M•••••• W••••••• O•••• · Founder
        since 07/2013 · owns less than 5%
      • O••••• H•••••• P••• · Managing Director
        since 01/2007 · owns 10% to 25%
      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 · 10 to 9
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 6.0
        Mar 30, 2012 to Mar 28, 2013
      • Assets in custody · $18.8M to $16.4M
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 6.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $578M to $612M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $578M to $612M
        Mar 30, 2012 to Mar 28, 2013
      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