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Former SEC-registered adviser

C••••• F•••••••• S••••••• C•••

Former SEC-registered adviserNew York, New YorkCRD 110926SEC 801-13834IAPD
Latest filing Oct 27, 2021
First filing on the tape Feb 7, 2012 · 15 filings
RAUM
$101M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$101M as of Oct 27, 2021
Sep 14, 2012$83.4M then
HNW client RAUM$0 as of Oct 27, 2021
Oct 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Oct 27, 2021
Sep 14, 20120 then
Employees (5.A)1 as of Oct 27, 2021
Sep 30, 20131 then
Private funds: no history
RAUM -2.6% over the last fiscal year-1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 27, 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
$101MderivedRAUM 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
-2.6%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 investment companiesreportedItem 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
  • Investment companies$101M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• V••••• K•••• · Vice Presidentcontrol
        since 04/2019 · owns less than 5%
      • F••••• D••••• I••••• · Director, President, Secretary, Ccocontrol
        since 05/2018 · owns less than 5%
      • B••••• S••••••• L•••••••• · Director
        since 02/1982 · owns less than 5%
      • L•••••• A•••••• M••••• · Director
        since 05/2018 · 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
      • Discretionary RAUM · $103M to $101M
        Sep 28, 2020 to Oct 27, 2021
      • RAUM · $103M to $101M
        Sep 28, 2020 to Oct 27, 2021
      • Discretionary RAUM · $127M to $103M
        Jan 15, 2020 to Sep 28, 2020
      • RAUM · $127M to $103M
        Jan 15, 2020 to Sep 28, 2020
      • HQ city · FALL RIVER to NEW YORK
        Oct 30, 2019 to Jan 15, 2020
      • HQ state · MA to NY
        Oct 30, 2019 to Jan 15, 2020
      • Discretionary RAUM · $118M to $127M
        Apr 2, 2019 to Oct 30, 2019
      • RAUM · $118M to $127M
        Apr 2, 2019 to Oct 30, 2019
      • Discretionary RAUM · $104M to $118M
        Oct 30, 2018 to Apr 2, 2019
      • RAUM · $104M to $118M
        Oct 30, 2018 to Apr 2, 2019
      • Discretionary RAUM · $112M to $104M
        May 9, 2018 to Oct 30, 2018
      • HNW RAUM · unset to 0.0
        May 9, 2018 to Oct 30, 2018
      • Individual RAUM · unset to 0.0
        May 9, 2018 to Oct 30, 2018
      • Pension RAUM · unset to 0.0
        May 9, 2018 to Oct 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        May 9, 2018 to Oct 30, 2018
      • RAUM · $112M to $104M
        May 9, 2018 to Oct 30, 2018
      • Discretionary RAUM · $114M to $112M
        Oct 31, 2017 to May 9, 2018
      • RAUM · $114M to $112M
        Oct 31, 2017 to May 9, 2018
      • Charity clients · unset to 0.0
        Sep 23, 2016 to Oct 31, 2017
      • Corporate clients · unset to 0.0
        Sep 23, 2016 to Oct 31, 2017
      • HNW clients · unset to 0.0
        Sep 23, 2016 to Oct 31, 2017
      • Individual clients · unset to 0.0
        Sep 23, 2016 to Oct 31, 2017
      • Pension plan clients · unset to 0.0
        Sep 23, 2016 to Oct 31, 2017
      • Pooled vehicle clients · unset to 0.0
        Sep 23, 2016 to Oct 31, 2017
      • Other offices · unset to 0.0
        Sep 23, 2016 to Oct 31, 2017
      • Discretionary RAUM · $106M to $114M
        Sep 23, 2016 to Oct 31, 2017
      • RAUM · $106M to $114M
        Sep 23, 2016 to Oct 31, 2017
      • Discretionary RAUM · $91.1M to $106M
        Sep 20, 2016 to Sep 23, 2016
      • RAUM · $91.1M to $106M
        Sep 20, 2016 to Sep 23, 2016
      • Discretionary RAUM · $95.5M to $91.1M
        Sep 12, 2014 to Sep 22, 2015
      • RAUM · $95.5M to $91.1M
        Sep 12, 2014 to Sep 22, 2015
      • Discretionary RAUM · $88.5M to $95.5M
        Sep 30, 2013 to Sep 12, 2014
      • RAUM · $88.5M to $95.5M
        Sep 30, 2013 to Sep 12, 2014
      • Advisory employees · unset to 1.0
        Sep 14, 2012 to Sep 30, 2013
      • Assets in custody · 2132897.0 to unset
        Sep 14, 2012 to Sep 30, 2013
      • Custody of client assets · true to false
        Sep 14, 2012 to Sep 30, 2013
      • Employees · unset to 1.0
        Sep 14, 2012 to Sep 30, 2013
      • Discretionary RAUM · $83.4M to $88.5M
        Sep 14, 2012 to Sep 30, 2013
      • RAUM · $83.4M to $88.5M
        Sep 14, 2012 to Sep 30, 2013
      • Assets in custody · $5.7M to $2.1M
        Feb 7, 2012 to Sep 14, 2012
      Signals
      1 dated events
      • Kumar Vijay Chopra (Vice President) appeared on Schedule A of C••••• F•••••••• S••••••• C•••
        Apr 2, 2019 · Control person joined · fact
      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