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Former SEC-registered adviser

F•• A•••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 110214SEC 801-60057IAPD
Latest filing Sep 25, 2015
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$86.8M
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
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$86.8M as of Sep 25, 2015
Sep 27, 2012$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 25, 2015
Aug 8, 20130 then
Employees (5.A)9 as of Sep 25, 2015
Aug 8, 201310 then
Private funds: no history
RAUM -34% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 25, 2015; 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
$21.7MderivedRAUM 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
-34%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 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
  • 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)
  • 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
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
4reported
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
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••• C••••••••• S•••• C••••••• · General Partnercontrol
        since 01/2009 · owns less than 5%
      • J•••••••• J••••• · General Partnercontrol
        since 01/2009 · owns less than 5%
      • M•••••••• R••••• L••••• · Chief Compliance Officer, Chief Operating Officercontrol
        since 05/2014 · owns less than 5%
      • N••••• J•••••••• F•••••• K•••••• · General Partnercontrol
        since 01/2009 · owns less than 5%
      • P•••••• F••••• · General Partnercontrol
        since 01/2009 · owns less than 5%
      Entity owners
      • F••••• P••••• • P••••••• L•••••• · General Partner
        direct · owns 75% or more
      • F••••• P••••• • P••••••• G••••• H••••••• L•••••• · Owner
        indirect · owns 75% or more of F••••• P••••• And Partners L••••••
      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
      • Discretionary RAUM · $132M to $86.8M
        Sep 23, 2014 to Sep 25, 2015
      • RAUM · $132M to $86.8M
        Sep 23, 2014 to Sep 25, 2015
      • Accounts · 5 to 4
        Aug 8, 2013 to Sep 23, 2014
      • Employees · 10 to 9
        Aug 8, 2013 to Sep 23, 2014
      • Discretionary RAUM · $128M to $132M
        Aug 8, 2013 to Sep 23, 2014
      • RAUM · $128M to $132M
        Aug 8, 2013 to Sep 23, 2014
      • Accounts · 7 to 5
        Nov 19, 2012 to Aug 8, 2013
      • Advisory employees · 7 to 5
        Nov 19, 2012 to Aug 8, 2013
      • Employees · 15 to 10
        Nov 19, 2012 to Aug 8, 2013
      • Discretionary RAUM · $175M to $128M
        Nov 19, 2012 to Aug 8, 2013
      • RAUM · $175M to $128M
        Nov 19, 2012 to Aug 8, 2013
      • Advisory employees · unset to 7.0
        Sep 27, 2012 to Nov 19, 2012
      • Employees · unset to 15.0
        Sep 27, 2012 to Nov 19, 2012
      • State-registered IARs · unset to 0.0
        Sep 27, 2012 to Nov 19, 2012
      • Accounts · 11 to 7
        Mar 29, 2012 to Sep 27, 2012
      • Discretionary RAUM · $191M to $175M
        Mar 29, 2012 to Sep 27, 2012
      • RAUM · $191M to $175M
        Mar 29, 2012 to Sep 27, 2012
      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