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Former SEC-registered adviser

A••••••••• C•••••• M•••••••••

Former SEC-registered adviserGreenwich, ConnecticutCRD 111809SEC 801-58162IAPD
Legal name A••••••••• C•••••• M••••••••• L••
Latest filing Jul 24, 2015
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$297M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$297M gross assets
History
7 filings and snapshots on the tape
RAUM$297M as of Apr 1, 2015
Mar 29, 2012$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2015
Mar 28, 20130 then
Employees (5.A)3 as of Apr 1, 2015
Mar 28, 20135 then
Private funds1 as of Apr 1, 2015
Mar 29, 20121 then
RAUM -72% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 24, 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
$98.9MderivedRAUM 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
-72%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
Custody
$17.0M, 2 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$17.0M for 2 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••••• F•••• I••••• M••••• F•••• L•••Hedge Fund$297M6Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• M••••••• J••••• · Chief Compliance Officercontrol
        since 08/2004 · owns 25% to 50%
      • K•••••• T•••••• T••••• · President/Managing Membercontrol
        since 11/2000 · owns 50% to 75%
      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
      • Assets in custody · $82.8M to $17.0M
        Dec 5, 2014 to Apr 1, 2015
      • Employees · 4 to 3
        Dec 5, 2014 to Apr 1, 2015
      • Discretionary RAUM · $1.1B to $297M
        Dec 5, 2014 to Apr 1, 2015
      • RAUM · $1.1B to $297M
        Dec 5, 2014 to Apr 1, 2015
      • Employees · 5 to 4
        Mar 31, 2014 to Dec 5, 2014
      • Related bank · true to false
        Mar 31, 2014 to Dec 5, 2014
      • Assets in custody · $8.0M to $82.8M
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $714M to $1.1B
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $714M to $1.1B
        Mar 28, 2013 to Mar 31, 2014
      • Related bank · false to true
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · 3 to 2
        Mar 5, 2013 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Mar 29, 2012 to Mar 5, 2013
      • Assets in custody · unset to 8011000.0
        Mar 29, 2012 to Mar 5, 2013
      • Custody of client assets · false to true
        Mar 29, 2012 to Mar 5, 2013
      • Employees · unset to 5.0
        Mar 29, 2012 to Mar 5, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 5, 2013
      • Discretionary RAUM · $155M to $714M
        Mar 29, 2012 to Mar 5, 2013
      • RAUM · $155M to $714M
        Mar 29, 2012 to Mar 5, 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
      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