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G•••• C•• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· Nassau

Former SEC-registered adviser, based in Nassau, reporting $72.8M of regulatory assets.

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

Last reported RAUM
$72.8M
Form ADV
RAUM change, 1 year
-2.3%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 28 Mar 2013, RAUM $74.5M to $72.8M (-2.3%) on the Form ADV filed 28 Mar 2013.

Every filed figure, and the identifiersCRD 109061 · SEC 801-53475 · 3 filingsShow
CRD 109061SEC 801-53475First filing on the tape Mar 29, 2012, latest Mar 28, 2013IAPD
RAUM
$72.8M
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
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$127M gross assets
History
3 filings and snapshots on the tape

RAUM -2.3% over the last fiscal year · the tape starts Mar 29, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$72.8M as of Mar 28, 2013
Mar 29, 2012$74.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 2
Private funds3 as of Mar 28, 2013
Mar 29, 20123 then
RAUM -2.3% over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$36.4MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year
-2.3%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• S•••••• M•••••••• •••••••• L••Hedge Fund$68.7M7Mar 29, 2012
      T•• S•••••• H••• A•••• F•••••••Hedge Fund$57.6M8Mar 29, 2012
      T•• S•••••• T••••••••• F•••• L••Hedge Fund$951,2211Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••••• J•••• M•••• · Ceo/Directorcontrol
        since 12/1996 · owns 25% to 50%
      • A•••••••• J••• · Director
        since 09/1997 · owns less than 5%
      • B••••• J••••• · Coo / Director
        since 01/2007 · owns less than 5%
      • M•••••• J••••• L••• · Director/Shareholder
        since 12/1996 · owns 5% to 10%
      • R••••••••• J•••••• J••• · Director
        since 06/1997 · owns 5% to 10%
      Entity owners
      • G•••• C•• A•••• M••••••••• S••••••• L•• · Shareholder
        direct · owns 50% to 75%
      • P••••••• F•••• P••••••••• L•••••• · Shareholder
        direct · owns 10% to 25%
      • S••••••••• J•••• M•••• · Shareholder / General Partner
        indirect · owns F of G•••• C•• A•••• M••••••••• S••••••• L•• / P••••••• F•••• P•••••••••
      • A••••• I••••••••• L•••••• P••••••••• · Shareholder
        direct · owns 5% to 10%
      • H••••••• L•• · Shareholder
        direct · owns 5% to 10%
      All 7 entity owners
      • S•••••• G•••••••• · Director/Shareholder
        direct · owns 5% to 10%
      • U••••• R•• · Director
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • G•••• C•• P•••••• C•••••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 1.0
        May 10, 2012 to Mar 28, 2013
      • Employees · unset to 2.0
        May 10, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        May 10, 2012 to Mar 28, 2013
      • Discretionary RAUM · $74.5M to $72.8M
        May 10, 2012 to Mar 28, 2013
      • RAUM · $74.5M to $72.8M
        May 10, 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026