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D••• A••••••••• I••••••••• •••• L••••••

Former SEC-registered adviserFormer SEC adviser3 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $174M of regulatory assets.

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

Last reported RAUM
$174M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-10%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 13.7 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 112262 · SEC 801-61390 · 3 filingsShow
CRD 112262SEC 801-61390First filing on the tape Mar 30, 2012, latest Apr 1, 2013IAPD
RAUM
$174M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$175M gross assets
History
3 filings and snapshots on the tape
RAUM$174M as of Apr 1, 2013
Mar 30, 2012$194M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 4
Private funds3 as of Apr 1, 2013
Mar 30, 20121 then
RAUM -10% over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2013; 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
$87.2MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-10%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 vehicles, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • 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)
  • controlled by a public reporting company (10.A)
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
2reported
Financial planning clients
n/areported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••• A••••••••• I••••••••• D••••••••• F••• S••Hedge Fund$167M10Apr 1, 2013
      D••• E••••••• M•••• M• A•••• F•••• L••••••Hedge Fund$7.6M3Apr 1, 2013
      D••• A••••••••• I••••••••• M••••••••• F•••• L•••Hedge Fund$6.8M5Mar 30, 2012
      D••• E••••••• M•••• F•••• L•••Hedge Fund$500,0001Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D• C•••••• E••• · Directorcontrol
        since 12/2011 · owns less than 5%
      • D• C•••••• E••• · Ceo & Equity Ownercontrol
        since 07/2010 · owns 25% to 50% of D••• A••••••••• I••••••••• L••••••
      • G••••• H••••• I••• · Equity Ownercontrol
        since 03/2012 · owns 25% to 50% of D••• S••••• L••••••
      • S•••••• A••••• L••••• · Equity Ownercontrol
        since 03/2012 · owns 25% to 50% of D••• S••••• L••••••
      • G••••• H••••• I••• · Director
        since 05/2009 · owns less than 5%
      • H•••• R••••••• J••••• · Director
        since 12/2011 · owns less than 5%
      • K•••••• K••••• K••••••• · Director
        since 12/2011 · owns less than 5%
      • S••••• T•• · Chief Compliance Officer
        since 03/2009 · owns less than 5%
      Entity owners
      • D••• A••••••••• I••••••••• L•••••• · Parent Company
        direct · owns 75% or more
      • D••• G•••• L•••••• · Equity Owner
        indirect · owns 50% to 75% of D••• A••••••••• I••••••••• L••••••
      • D••• S••••• L•••••• · Equity Owner
        indirect · owns 50% to 75% of D••• G•••• L••••••
      Related persons
      Schedule D 7.A
      • D••• A••••••••• I••••••••• ••••••••• P•• L••
        investment advisern
      • D••• A••••••••• I••••••••• ••• L••
        investment advisern
      • D••• A••••••••• I••••••••• L••
        pooled vehicle sponsorn
      • D••• A••••••••• I••••••••• M•••• L••••••
        investment advisern
      • D••• A•••• M••••••••• L•••
        investment adviserbanknRAUM $365M
      • D••• C•••••• P••••••• 1• L••••••
        pooled vehicle sponsorn
      • D••• M••• L••••••
        investment advisern
      • D••• P•••••• E••••• L••••••
        investment advisern
      • D••• R••• E••••• P••••••• 1• L••
        pooled vehicle sponsorn
      • D••• U•• A•••• M••••••••• L••
        pooled vehicle sponsorn
      • E••• I••••••••• A•••••• L••
        investment advisern
      • E••••••• R••• E••••• D••• F••• ••• L••••••
        pooled vehicle sponsorn
      • E••••••• R••• E••••• D••• F••• •••• L••••••
        pooled vehicle sponsorn
      • V••• G• L••••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 2
        Nov 16, 2012 to Apr 1, 2013
      • Advisory activities · 3 to 2
        Nov 16, 2012 to Apr 1, 2013
      • Private funds · 1 to 3
        Nov 16, 2012 to Apr 1, 2013
      • Discretionary RAUM · $184M to $174M
        Nov 16, 2012 to Apr 1, 2013
      • RAUM · $184M to $174M
        Nov 16, 2012 to Apr 1, 2013
      • RAUM · $194M to $184M
        Mar 30, 2012 to Nov 16, 2012
      • Accounts · 3 to 5
        Mar 30, 2012 to Nov 16, 2012
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Nov 16, 2012
      • Advisory activities · 2 to 3
        Mar 30, 2012 to Nov 16, 2012
      • Employees · unset to 4.0
        Mar 30, 2012 to Nov 16, 2012
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Nov 16, 2012
      • Discretionary RAUM · $194M to $184M
        Mar 30, 2012 to Nov 16, 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