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C•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser4 private funds· San Francisco, California

Former SEC-registered adviser, based in San Francisco, California, reporting $2.5B of regulatory assets.

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

Last reported RAUM
$2.5B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-24%
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
Why this matters
Every filed figure, and the identifiersCRD 120541 · SEC 801-63521 · 16 filingsShow
CRD 120541SEC 801-63521Legal name C•••••••• C•••••• M•••••••••First filing on the tape Dec 13, 2011, latest Aug 1, 2018IAPD
RAUM
$2.5B
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
25
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$2.8B gross assets
History
16 filings and snapshots on the tape
RAUM$2.9B as of Mar 29, 2018
Mar 30, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)25 as of Mar 29, 2018
Mar 26, 201318 then
Private funds5 as of Mar 29, 2018
Mar 30, 20124 then
RAUM -24% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 1, 2018; 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
$255MderivedRAUM 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
-13%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.8B, 9 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
  • 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
  • Pooled investment vehicles$2.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1.8B for 9 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• H••••••• M••••• F•••• L•••Hedge Fund$1.3B88Mar 30, 2012
      C•••••••• C•••••• P••••••• M••••• F•••• L•••Hedge Fund$1.1B48Mar 30, 2012
      C•••••••• V•••• M••••• F•••• L•••Hedge Fund$234M19Mar 30, 2012
      C•••••••• S••••••• A•• S••••••• O••••••••• M••••• F•••• L•••Hedge Fund$150M40Jul 23, 2015
      E• C•••••••• L••Hedge Fund$95.0M12Mar 31, 2015
      M•••••• A•••••• I••••••••• S••••••• S••••••••• P••••••••no longer reportedHedge Fund$60.8M2Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• T•••••• N••••••• · Trustee Of F•••••• Family Trust/Management Committee Membercontrol
        since 01/2011 · owns 25% to 50%
      • L•••• C••••••••• H•••••• · Trustee Of L••• R•••••••• T••••/Management Committee Membercontrol
        since 09/2006 · owns 25% to 50%
      • M••••• J•••• J••••• · Membercontrol
        since 01/2015 · owns 5% to 10%
      • R••••• D••••• K••••••• · Trustee Of D•••• R•••• And S•••• F•••• R•••••••• Trust/Management Committee Membercontrol
        since 09/2006 · owns 25% to 50%
      • S••••• C••••••• R••• · Director Of Financecontrol
        since 03/2018 · owns less than 5%
      • W••••••• M••••••• H•••• · Chief Compliance Officer/Chief Operations Officercontrol
        since 01/2016 · owns less than 5%
      • C••••• L••••• A••••• · Trustee Of T•• A••••• A•• L•••• C•••• R•••••••• T••••/Member
        since 01/2016 · owns 10% to 25%
      Entity owners
      • D•••• R•••• A•• S•••• F•••• T•••• · Trust
        direct · owns 25% to 50%
      • F•••••• F••••• T•••• U•• · Trust
        direct · owns 25% to 50%
      • L••• R•••••••• T•••• · Trust
        direct · owns 25% to 50%
      • T•• A••••• A•• L•••• C•••• R•••••••• T•••• · Trust
        direct · owns 10% to 25%
      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 · 13 to 10
        Mar 29, 2018 to Aug 1, 2018
      • Pooled vehicle clients · 13 to 10
        Mar 29, 2018 to Aug 1, 2018
      • Assets in custody · $1.9B to $1.8B
        Mar 29, 2018 to Aug 1, 2018
      • Private funds · 5 to 4
        Mar 29, 2018 to Aug 1, 2018
      • Discretionary RAUM · $2.9B to $2.5B
        Mar 29, 2018 to Aug 1, 2018
      • Pooled vehicle RAUM · $2.9B to $2.5B
        Mar 29, 2018 to Aug 1, 2018
      • RAUM · $2.9B to $2.5B
        Mar 29, 2018 to Aug 1, 2018
      • Accounts · 14 to 13
        Aug 13, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 13.0
        Aug 13, 2017 to Mar 29, 2018
      • Assets in custody · $2.1B to $1.9B
        Aug 13, 2017 to Mar 29, 2018
      • Employees · 27 to 25
        Aug 13, 2017 to Mar 29, 2018
      • Financial planning clients · unset to 0
        Aug 13, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Aug 13, 2017 to Mar 29, 2018
      • Discretionary RAUM · $3.4B to $2.9B
        Aug 13, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2937416720.0
        Aug 13, 2017 to Mar 29, 2018
      • RAUM · $3.4B to $2.9B
        Aug 13, 2017 to Mar 29, 2018
      • Accounts · 13 to 14
        Feb 12, 2016 to Mar 28, 2017
      • Advisory employees · 13 to 14
        Feb 12, 2016 to Mar 28, 2017
      • Assets in custody · $2.7B to $2.1B
        Feb 12, 2016 to Mar 28, 2017
      • Employees · 25 to 27
        Feb 12, 2016 to Mar 28, 2017
      • Discretionary RAUM · $4.5B to $3.4B
        Feb 12, 2016 to Mar 28, 2017
      • RAUM · $4.5B to $3.4B
        Feb 12, 2016 to Mar 28, 2017
      • Accounts · 10 to 13
        Jul 23, 2015 to Feb 12, 2016
      • Advisory employees · 12 to 13
        Jul 23, 2015 to Feb 12, 2016
      • Advisory activities · 1 to 2
        Jul 23, 2015 to Feb 12, 2016
      • Assets in custody · $2.4B to $2.7B
        Jul 23, 2015 to Feb 12, 2016
      • Employees · 22 to 25
        Jul 23, 2015 to Feb 12, 2016
      • Discretionary RAUM · $4.1B to $4.5B
        Jul 23, 2015 to Feb 12, 2016
      • RAUM · $4.1B to $4.5B
        Jul 23, 2015 to Feb 12, 2016
      • Private funds · 4 to 5
        Mar 31, 2015 to Jul 23, 2015
      • Accounts · 12 to 10
        Jan 30, 2015 to Mar 31, 2015
      • Advisory employees · 10 to 12
        Jan 30, 2015 to Mar 31, 2015
      • Assets in custody · $782M to $2.4B
        Jan 30, 2015 to Mar 31, 2015
      • Employees · 18 to 22
        Jan 30, 2015 to Mar 31, 2015
      • Private funds · 3 to 4
        Jan 30, 2015 to Mar 31, 2015
      • Discretionary RAUM · $3.7B to $4.1B
        Jan 30, 2015 to Mar 31, 2015
      • RAUM · $3.7B to $4.1B
        Jan 30, 2015 to Mar 31, 2015
      • Advisory employees · 9 to 10
        Feb 19, 2014 to Mar 28, 2014
      • Assets in custody · $425M to $782M
        Feb 19, 2014 to Mar 28, 2014
      • Discretionary RAUM · $3.1B to $3.7B
        Feb 19, 2014 to Mar 28, 2014
      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