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F•• A••••••• L••

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

Former SEC-registered adviser, based in New York, New York, reporting $253M of regulatory assets.

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

Last reported RAUM
$253M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
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 6 Form ADV filings for this adviser, the latest 14.1 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 119543 · SEC 801-61231 · 6 filingsShow
CRD 119543SEC 801-61231First filing on the tape Mar 30, 2012, latest Oct 10, 2012IAPD
RAUM
$253M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$253M gross assets
History
6 filings and snapshots on the tape
RAUM$253M as of Oct 10, 2012
Mar 30, 2012$291M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 10, 2012
Mar 30, 20120 then
Employees (5.A): no history
Private funds3 as of Oct 10, 2012
Mar 30, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 10, 2012; 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
$84.4MderivedRAUM 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
unknownderivedbetween 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
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
      • A••••• J•••••• B• · Chief Financial Officercontrol
        since 09/2012 · owns less than 5%
      • B••••••• M•••• F••••• · Vice Presidentcontrol
        since 03/2010 · owns less than 5%
      • L••• O••• · Secretarycontrol
        since 09/2012 · owns less than 5%
      • M••••••••• M••••••• · Presidentcontrol
        since 09/2012 · owns less than 5%
      • G•••• A•••••••• P•••• · Chief Compliance Officer
        since 04/2008 · owns less than 5%
      Entity owners
      • M•• I••••••••• H••••••• I••• · Sole Member
        direct · owns 75% or more
      • E••• • F• M•• C•••• I••••••••• L•••••• · Shareholder
        indirect · owns 75% or more of F•••••••• L••••••
      • E••• • F• M•• I••••••••• B• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• U•• H••••••• I•••
      • F•••••••• L•••••• · Shareholder
        indirect · owns 75% or more of E.D. & F Man Investments Bv
      • M•• G•••• I••••••••• L•••••• · Shareholder
        indirect · owns 75% or more of E••• • F• M•• C•••• I••••••••• L••••••
      • M•• G•••• P•• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• F•••••• L••••••
      • M•• G•••• U• L•• · Shareholder
        indirect · owns 75% or more of Rbh Holdings (Jersey) L••••••
      • M•• I••••••••• F•••••• L•••••• · Shareholder
        indirect · owns 75% or more of M•• G•••• U• L••
      • M•• I••••••••• U•• H••••••• I••• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• H••••••• I•••
      Related persons
      Schedule D 7.A
      • F•• G••••••• L••••••
        investment advisern
      • F•••••••• R••• M••••••••• L••••••
        investment advisern
      • F•• ••••••••• P•• L•••
        investment advisern
      • F•• A••••••• G•• L••
        pooled vehicle sponsory
      • F•• C•••••• A••••••• L••••••
        investment advisern
      • F•• H••• K••• L••••••
        broker-dealerinvestment advisern
      • F•• I••••••••• L••••••
        investment advisern
      • F•• I••••••••• L•••••• ••••• B••••••
        investment advisern
      • F•• I••••••••• A••••••• K•••• C•••••• L••••••
        investment advisern
      • F•• I••••••••• M••••••••• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $291M to $253M
        May 25, 2012 to Jul 18, 2012
      • RAUM · $291M to $253M
        May 25, 2012 to Jul 18, 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