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G••••••• C•••••• M••••••••• L••

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

Former SEC-registered adviser, based in New York, New York, reporting $244M of regulatory assets.

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

As of 2020-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $244M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +12%
Private clients: 70% of RAUM, $172M

Advisors Advisor movement Where the RAUM sits

As of 2020-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 14 Form ADV filings for this adviser, the latest 6.5 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 108936 · SEC 801-56602 · 14 filingsShow

CRD 108936SEC 801-56602First filing on the tape Dec 23, 2011, latest Mar 30, 2020IAPD

RAUM

$244M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

70%

$172M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$244M as of Mar 30, 2020

Mar 30, 2012$238M then

HNW client RAUM$172M as of Mar 30, 2020

Mar 27, 2018$199M then

State-registered IARs (5.B.3)0 as of Mar 30, 2020

Mar 30, 20120 then

Employees (5.A)5 as of Mar 30, 2020

Mar 22, 20135 then

Private funds1 as of Mar 30, 2017

Mar 31, 20151 then

RAUM +12% over the last fiscal year-3.1% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2020; 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: $1.4MderivedHNW RAUM over HNW clients
Average account: $1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 27%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: +12%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -0.8%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$172M70%
Charitable organizations$64.0M26%
Corporations and businesses$5.0M2.0%
Pension and profit-sharing plans$3.0M1.2%

Individual clients: 0reported
HNW clients: 119reported
Pension plan clients: 3reported
Charitable clients: 9reported
Accounts: 132reported
Financial planning clients: n/areported
Wrap fee programs: $0 sponsored, $1.0M managedreported
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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
G•• O••••••••• F••• L•no longer reported	Hedge Fund	$6.5M	16	Oct 31, 2014

Owners and control persons

Schedule A and B, latest filing

F••••••• S••••••• P••••• · Chief Administrative Officercontrol
since 01/2012 · owns 75% or more
G•••••••• C••••••••• C•••••• · Chief Executive Officercontrol
since 06/1999 · owns 75% or more
P••••••• M••••••• A•••••• · Chief Operating Officercontrol
since 07/2012 · owns less than 5%

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 · 131 to 132
Mar 28, 2019 to Mar 30, 2020
Charity clients · 8 to 9
Mar 28, 2019 to Mar 30, 2020
Corporate clients · 0 to 1
Mar 28, 2019 to Mar 30, 2020
HNW clients · 120 to 119
Mar 28, 2019 to Mar 30, 2020
Pooled vehicle clients · unset to 0.0
Mar 28, 2019 to Mar 30, 2020
Discretionary RAUM · $218M to $244M
Mar 28, 2019 to Mar 30, 2020
HNW RAUM · $154M to $172M
Mar 28, 2019 to Mar 30, 2020
Pension RAUM · $3.5M to $3.0M
Mar 28, 2019 to Mar 30, 2020
RAUM · $218M to $244M
Mar 28, 2019 to Mar 30, 2020
Wrap assets (manager) · $6.2M to $1.0M
Mar 28, 2019 to Mar 30, 2020
Accounts · 127 to 131
Mar 27, 2018 to Mar 28, 2019
Corporate clients · unset to 0.0
Mar 27, 2018 to Mar 28, 2019
HNW clients · 116 to 120
Mar 27, 2018 to Mar 28, 2019
Individual clients · unset to 0.0
Mar 27, 2018 to Mar 28, 2019
Discretionary RAUM · $270M to $218M
Mar 27, 2018 to Mar 28, 2019
HNW RAUM · $199M to $154M
Mar 27, 2018 to Mar 28, 2019
Pension RAUM · $3.6M to $3.5M
Mar 27, 2018 to Mar 28, 2019
RAUM · $270M to $218M
Mar 27, 2018 to Mar 28, 2019
Wrap assets (manager) · $78.2M to $6.2M
Mar 27, 2018 to Mar 28, 2019
Accounts · 133 to 127
Sep 27, 2017 to Mar 27, 2018
Advisory activities · 3 to 2
Sep 27, 2017 to Mar 27, 2018
Charity clients · unset to 8.0
Sep 27, 2017 to Mar 27, 2018
HNW clients · unset to 116.0
Sep 27, 2017 to Mar 27, 2018
Pension plan clients · unset to 3.0
Sep 27, 2017 to Mar 27, 2018
Assets in custody · 6500000.0 to unset
Sep 27, 2017 to Mar 27, 2018
Custody of client assets · true to false
Sep 27, 2017 to Mar 27, 2018
Employees · 6 to 5
Sep 27, 2017 to Mar 27, 2018
Other offices · unset to 0.0
Sep 27, 2017 to Mar 27, 2018
Private funds · 1 to unset
Sep 27, 2017 to Mar 27, 2018
Discretionary RAUM · $268M to $270M
Sep 27, 2017 to Mar 27, 2018
HNW RAUM · unset to 199250000.0
Sep 27, 2017 to Mar 27, 2018
Pension RAUM · unset to 3619000.0
Sep 27, 2017 to Mar 27, 2018
RAUM · $268M to $270M
Sep 27, 2017 to Mar 27, 2018
Wrap assets (manager) · unset to 78216000.0
Sep 27, 2017 to Mar 27, 2018
Wrap assets (sponsor) · unset to 0.0
Sep 27, 2017 to Mar 27, 2018
Accounts · 128 to 133
Mar 22, 2016 to Mar 30, 2017
Assets in custody · $4.9M to $6.5M
Mar 22, 2016 to Mar 30, 2017
Discretionary RAUM · $261M to $268M
Mar 22, 2016 to Mar 30, 2017
RAUM · $261M to $268M
Mar 22, 2016 to Mar 30, 2017
Accounts · 124 to 128
Mar 31, 2015 to Mar 22, 2016

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