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Former SEC-registered adviser

O•• C•••••• M••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 114106SEC 801-60466IAPD
Latest filing Mar 20, 2015
First filing on the tape Mar 28, 2012 · 5 filings
RAUM
$150M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$65.0M gross assets
History
5 filings and snapshots on the tape
RAUM$150M as of Mar 20, 2015
Mar 28, 2012$225M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2015
Mar 28, 20120 then
Employees (5.A)6 as of Mar 20, 2015
Apr 3, 20136 then
Private funds1 as of Mar 20, 2015
Mar 28, 20122 then
RAUM -67% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
$15.0MderivedRAUM 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
-67%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$39.9M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$39.9M for 1 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••••• C•••••• P•••••••• L•••Hedge Fund$65.0M17Mar 28, 2012
      H•••••••• M••••• F•••• L•Hedge Fund$32.8M3Apr 3, 2013
      H•••••••• C•••••• O••••••• F•••• L•••no longer reportedHedge Fund$00Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• T•••••• D•••• · Chief Investment Officercontrol
        since 05/1998 · owns 10% to 25%
      • W•••••• J••• · Portfolio Managercontrol
        since 10/2002 · owns 10% to 25%
      • O••••••• M•••••• · Portfolio Manager
        since 02/2015 · owns 5% to 10%
      • S•••••• P••• · Chief Operations Officer, Chief Compliance Officer & Sr Analyst
        since 02/2015 · owns 10% to 25%
      Entity owners
      • T••••• • C•••• H•••••• 2••• I••••••••• T•••• · Member
        direct · owns 25% to 50%
      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
      • Accounts · 17 to 10
        Mar 31, 2014 to Mar 20, 2015
      • Advisory activities · 4 to 3
        Mar 31, 2014 to Mar 20, 2015
      • Assets in custody · $75.9M to $39.9M
        Mar 31, 2014 to Mar 20, 2015
      • Employees · 7 to 6
        Mar 31, 2014 to Mar 20, 2015
      • Private funds · 2 to 1
        Mar 31, 2014 to Mar 20, 2015
      • Discretionary RAUM · $451M to $150M
        Mar 31, 2014 to Mar 20, 2015
      • RAUM · $451M to $150M
        Mar 31, 2014 to Mar 20, 2015
      • Accounts · 18 to 17
        Apr 3, 2013 to Mar 31, 2014
      • Assets in custody · $67.6M to $75.9M
        Apr 3, 2013 to Mar 31, 2014
      • Employees · 6 to 7
        Apr 3, 2013 to Mar 31, 2014
      • Discretionary RAUM · $314M to $451M
        Apr 3, 2013 to Mar 31, 2014
      • RAUM · $314M to $451M
        Apr 3, 2013 to Mar 31, 2014
      • Accounts · 14 to 18
        Mar 30, 2012 to Apr 3, 2013
      • Advisory employees · unset to 4.0
        Mar 30, 2012 to Apr 3, 2013
      • Assets in custody · $55.4M to $67.6M
        Mar 30, 2012 to Apr 3, 2013
      • Employees · unset to 6.0
        Mar 30, 2012 to Apr 3, 2013
      • Discretionary RAUM · $242M to $314M
        Mar 30, 2012 to Apr 3, 2013
      • RAUM · $242M to $314M
        Mar 30, 2012 to Apr 3, 2013
      • Discretionary RAUM · $225M to $242M
        Mar 28, 2012 to Mar 30, 2012
      • RAUM · $225M to $242M
        Mar 28, 2012 to Mar 30, 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