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Former SEC-registered adviser

A••••• I•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 107436SEC 801-53005IAPD
Latest filing Mar 15, 2024
First filing on the tape Mar 22, 2012 · 18 filings
RAUM
$1.5B
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
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.5B as of Mar 15, 2024
Mar 22, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2024
Mar 22, 20120 then
Employees (5.A)7 as of Mar 15, 2024
Mar 15, 201310 then
Private funds1 as of Mar 25, 2019
Mar 22, 20121 then
RAUM +17% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2024; 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
$1.5BderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$1.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• M•••••••• F••• I•• L•••no longer reportedPrivate Equity Fund$1.5M12Mar 15, 2013
      A••••• M•••••••• F•••• L•••no longer reportedPrivate Equity Fund$1.1M12Mar 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• M••• · Managing Membercontrol
        since 08/1996 · owns 50% to 75%
      • G•••••••• C•••••• A•••••• · Executive Officercontrol
        since 05/2022 · owns less than 5%
      • L•••••• E•••• · Vice President/Chief Compliance Officercontrol
        since 11/2019 · owns less than 5%
      • L••••••• V••••••••• P•••• · Managing Directorcontrol
        since 01/2005 · owns less than 5%
      • T••••••• A••••••• G•••••••• · Managing Membercontrol
        since 08/1996 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $1.3B to $1.5B
        Feb 23, 2023 to Mar 15, 2024
      • RAUM · $1.3B to $1.5B
        Feb 23, 2023 to Mar 15, 2024
      • Non-discretionary RAUM · $992M to $1.3B
        Jul 1, 2022 to Feb 23, 2023
      • RAUM · $992M to $1.3B
        Jul 1, 2022 to Feb 23, 2023
      • Other offices · 0 to 1
        Mar 23, 2022 to Jul 1, 2022
      • Non-discretionary RAUM · $766M to $992M
        Mar 11, 2021 to Mar 23, 2022
      • RAUM · $766M to $992M
        Mar 11, 2021 to Mar 23, 2022
      • Financial planning clients · 0 to unset
        Mar 18, 2020 to Mar 11, 2021
      • Non-discretionary RAUM · $627M to $766M
        Mar 18, 2020 to Mar 11, 2021
      • RAUM · $627M to $766M
        Mar 18, 2020 to Mar 11, 2021
      • Other offices · 1 to 0
        Nov 15, 2019 to Mar 18, 2020
      • Non-discretionary RAUM · $637M to $627M
        Nov 15, 2019 to Mar 18, 2020
      • RAUM · $637M to $627M
        Nov 15, 2019 to Mar 18, 2020
      • Employees · 6 to 7
        Mar 25, 2019 to Nov 15, 2019
      • Accounts · 2 to 1
        Mar 25, 2019 to Nov 15, 2019
      • Advisory employees · 6 to 7
        Mar 25, 2019 to Nov 15, 2019
      • Advisory activities · 2 to 1
        Mar 25, 2019 to Nov 15, 2019
      • Pooled vehicle clients · 1.0 to unset
        Mar 25, 2019 to Nov 15, 2019
      • Assets in custody · 83358.0 to unset
        Mar 25, 2019 to Nov 15, 2019
      • Custody of client assets · true to false
        Mar 25, 2019 to Nov 15, 2019
      • Private funds · 1 to unset
        Mar 25, 2019 to Nov 15, 2019
      • Discretionary RAUM · $83,356 to $0
        Mar 25, 2019 to Nov 15, 2019
      • Pooled vehicle RAUM · 83356.0 to unset
        Mar 25, 2019 to Nov 15, 2019
      • RAUM · $637M to $637M
        Mar 25, 2019 to Nov 15, 2019
      • Assets in custody · $2.8M to $83,358
        Apr 26, 2018 to Mar 25, 2019
      • Discretionary RAUM · $1.5M to $83,356
        Apr 26, 2018 to Mar 25, 2019
      • Non-discretionary RAUM · $602M to $637M
        Apr 26, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $1.5M to $83,356
        Apr 26, 2018 to Mar 25, 2019
      • RAUM · $603M to $637M
        Apr 26, 2018 to Mar 25, 2019
      • Accounts · 3 to 2
        Mar 31, 2017 to Mar 23, 2018
      • Advisory employees · 5 to 6
        Mar 31, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 23, 2018
      • Financial planning clients · unset to 0
        Mar 31, 2017 to Mar 23, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 23, 2018
      • Private funds · 2 to 1
        Mar 31, 2017 to Mar 23, 2018
      • Discretionary RAUM · $7.9M to $1.5M
        Mar 31, 2017 to Mar 23, 2018
      • Non-discretionary RAUM · $639M to $602M
        Mar 31, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 1458605.0
        Mar 31, 2017 to Mar 23, 2018
      • RAUM · $647M to $603M
        Mar 31, 2017 to Mar 23, 2018
      • Advisory activities · 1 to 2
        Nov 29, 2016 to Mar 31, 2017
      Signals
      5 dated events
      • A••••• I•••••••• L•• reported RAUM $1.3B, up 26% from $992.2M (2022-07-01 to 2023-02-23)
        Feb 23, 2023 · RAUM change · derived
      • Charles Anthony Gonzalez (Managing Director) appeared on Schedule A of A••••• I•••••••• L••
        Jul 1, 2022 · Control person joined · fact
      • A••••• I•••••••• L•• reported RAUM $992.2M, up 29% from $766.4M (2021-03-11 to 2022-03-23)
        Mar 23, 2022 · RAUM change · derived
      • Peter Vassilios Livanos (Managing Director) appeared on Schedule A of A••••• I•••••••• L••
        Mar 11, 2021 · Control person joined · fact
      • Edina Leiher (Vice President/Chief Compliance Officer) appeared on Schedule A of A••••• I•••••••• L••
        Nov 15, 2019 · Control person joined · 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