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Former SEC-registered adviser

C•••• A•••• M••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 108484SEC 801-57758IAPD
Latest filing Mar 5, 2021
First filing on the tape Dec 14, 2011 · 22 filings
RAUM
$3.4B
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
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$3.5B gross assets
History
22 filings and snapshots on the tape
RAUM$3.4B as of Mar 5, 2021
Mar 30, 2012$15B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 5, 2021
Mar 28, 20130 then
Employees (5.A)10 as of Mar 5, 2021
Mar 28, 201318 then
Private funds4 as of Mar 5, 2021
Mar 30, 201218 then
RAUM -2.2% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 5, 2021; 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
$857MderivedRAUM 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
-2.2%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 pooled vehiclesreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
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
      21 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• C•••• F••• L••• ••••no longer reportedHedge Fund$5.2B1Mar 30, 2012
      T•• C•••• F••• L•••Hedge Fund$3.4B1Mar 30, 2012
      C•••• D••••••••• M••••• F•••• L••• ••••••••no longer reportedHedge Fund$132M193Mar 30, 2012
      C•••• I••••••••• G•••• 2•••••• L••••••no longer reportedSecuritized Asset Fund$101M18Mar 30, 2012
      S•••••• L••Other Private Fund$74.3M1Dec 17, 2012
      C•••• I••••••••• G•••• 2•••••• L••••••no longer reportedSecuritized Asset Fund$50.5M14Mar 30, 2012
      C•••• D•• S••••••• I••••••••• L•••no longer reportedHedge Fund$30.6M238Mar 30, 2012
      C•••• C•• 2•••••• L••no longer reportedHedge Fund$24.9M159Mar 30, 2012
      C•••• C•• 2•••••• L•••no longer reportedHedge Fund$18.7M159Mar 30, 2012
      C•••• I••••••••• G•••• 2•••••• L••••••no longer reportedSecuritized Asset Fund$17.3M8Mar 30, 2012
      C•••• P••••••••• C••••••• L••Hedge Fund$15.9M1Mar 26, 2014
      C•••• C•• 2•••••• L••no longer reportedHedge Fund$15.2M159Mar 30, 2012
      C•••• V•••• F••• I• L•••Hedge Fund$13.2M1Mar 27, 2020
      T•• C•••• F••• L••• ••••no longer reportedHedge Fund$3.9M11Mar 30, 2012
      C•••• S•••••••• F•••• L•••no longer reportedHedge Fund$3.7M1Aug 28, 2012
      C•••• D••••••••• F••• I• •••• L••• ••••••••no longer reportedHedge Fund$3.0M46Mar 30, 2012
      C•••• D••••••••• U••• T••••no longer reportedHedge Fund$2.5M1Mar 28, 2013
      C•••• T•••• S••••••• I••••••••• L••no longer reportedHedge Fund$658,768396Mar 30, 2012
      C•••• A••••••• F•••• L••no longer reportedHedge Fund$147,5241Mar 30, 2012
      C•••• A••••••• F•••• L•••no longer reportedHedge Fund$129,4651Mar 30, 2012
      C•••• S•••• F•••• L•••••no longer reportedHedge Fund$33,9951Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• L••••• T••••• · Senior Vice President, Portfolio Managercontrol
        since 03/2015 · owns less than 5%
      • S••••• D••••• E•••••• · Chief Executive Officer, President, Member, Managercontrol
        since 10/1999 · owns 75% or more
      • T•••• A•••••• L•• · Chief Financial Officer, Chief Operating Officer, Chief Compliance Officercontrol
        since 12/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••• O••••••• M••••••••• •••••••• L•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 6
        Mar 30, 2020 to Mar 5, 2021
      • Discretionary RAUM · $3.5B to $3.4B
        Mar 30, 2020 to Mar 5, 2021
      • Pooled vehicle RAUM · $3.5B to $3.4B
        Mar 30, 2020 to Mar 5, 2021
      • RAUM · $3.5B to $3.4B
        Mar 30, 2020 to Mar 5, 2021
      • Assets in custody · 6953937271.0 to unset
        Oct 11, 2019 to Mar 27, 2020
      • Custody of client assets · true to false
        Oct 11, 2019 to Mar 27, 2020
      • Other offices · 1 to 0
        Oct 11, 2019 to Mar 27, 2020
      • Private funds · 3 to 4
        Oct 11, 2019 to Mar 27, 2020
      • Discretionary RAUM · $7.0B to $3.5B
        Oct 11, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $7.0B to $3.5B
        Oct 11, 2019 to Mar 27, 2020
      • RAUM · $7.0B to $3.5B
        Oct 11, 2019 to Mar 27, 2020
      • Advisory employees · 10 to 9
        Mar 26, 2018 to Mar 26, 2019
      • Assets in custody · $6.3B to $7.0B
        Mar 26, 2018 to Mar 26, 2019
      • Employees · 11 to 10
        Mar 26, 2018 to Mar 26, 2019
      • Discretionary RAUM · $6.3B to $7.0B
        Mar 26, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $6.3B to $7.0B
        Mar 26, 2018 to Mar 26, 2019
      • RAUM · $6.3B to $7.0B
        Mar 26, 2018 to Mar 26, 2019
      • Advisory employees · 11 to 10
        Mar 27, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 27, 2017 to Mar 26, 2018
      • Assets in custody · $6.9B to $6.3B
        Mar 27, 2017 to Mar 26, 2018
      • Employees · 12 to 11
        Mar 27, 2017 to Mar 26, 2018
      • HQ city · LOS ANGELE to LOS ANGELES
        Mar 27, 2017 to Mar 26, 2018
      • Other offices · unset to 1.0
        Mar 27, 2017 to Mar 26, 2018
      • Discretionary RAUM · $6.9B to $6.3B
        Mar 27, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 6269112068.0
        Mar 27, 2017 to Mar 26, 2018
      • RAUM · $6.9B to $6.3B
        Mar 27, 2017 to Mar 26, 2018
      • Assets in custody · $5.7B to $6.9B
        Mar 30, 2016 to Mar 27, 2017
      • Discretionary RAUM · $5.7B to $6.9B
        Mar 30, 2016 to Mar 27, 2017
      • RAUM · $5.7B to $6.9B
        Mar 30, 2016 to Mar 27, 2017
      • Assets in custody · $4.2B to $5.7B
        Mar 30, 2015 to Mar 30, 2016
      • Employees · 13 to 12
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $4.2B to $5.7B
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $4.2B to $5.7B
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 5 to 4
        Jan 9, 2015 to Mar 30, 2015
      • Advisory employees · 14 to 11
        Jan 9, 2015 to Mar 30, 2015
      • Advisory activities · 2 to 1
        Jan 9, 2015 to Mar 30, 2015
      • Assets in custody · $9.1B to $4.2B
        Jan 9, 2015 to Mar 30, 2015
      • Employees · 17 to 13
        Jan 9, 2015 to Mar 30, 2015
      • Discretionary RAUM · $9.1B to $4.2B
        Jan 9, 2015 to Mar 30, 2015
      • RAUM · $9.1B to $4.2B
        Jan 9, 2015 to Mar 30, 2015
      Signals
      2 dated events
      • C•••• A•••• M••••••••• L•• reported RAUM $3.5B, down 50% from $7.0B (2019-10-11 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • Yayoi Gwendolyn Oikawa (Chief Compliance Officer) no longer on Schedule A of C•••• A•••• M••••••••• L•• (listed 2019-03-26, absent 2019-10-11)
        Oct 11, 2019 · Control person left · inference
      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