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A•• I• C••••••• L•••••

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $141M of regulatory assets.

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

As of 2020-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $141M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -13%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2020-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 13 Form ADV filings for this adviser, the latest 6.5 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 122747 · SEC 801-61546 · 13 filingsShow

CRD 122747SEC 801-61546First filing on the tape Mar 30, 2012, latest Mar 30, 2020IAPD

RAUM

$141M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$141M gross assets

History

13 filings and snapshots on the tape

RAUM$141M as of Mar 30, 2020

Mar 30, 2012$484M then

HNW client RAUM$0 as of Mar 30, 2020

Mar 29, 2018$0 then

State-registered IARs (5.B.3)0 as of Mar 30, 2020

Mar 30, 20120 then

Employees (5.A)3 as of Mar 30, 2020

Mar 18, 20138 then

Private funds1 as of Mar 30, 2020

Mar 30, 20121 then

RAUM -13% over the last fiscal year-12% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2020; 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: $35.3MderivedRAUM 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 pooled vehiclesreportedItem 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$141M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 4reported
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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A•• I• M••••• F•••• L•••	Hedge Fund	$141M	61	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

C•••• T••• L••• · Chief Financial Officer/ Chief Compliance Officercontrol
since 09/2012 · owns 5% to 10%
L••••••••• D•••••• H••••• · Managing Membercontrol
since 11/2001 · owns 25% to 50%
S••••••• D•••••• M•••••• · Non-Managing Membercontrol
since 01/2004 · 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

Advisory employees · 3 to 2
Mar 29, 2019 to Mar 30, 2020
Employees · 4 to 3
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $163M to $141M
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $163M to $141M
Mar 29, 2019 to Mar 30, 2020
RAUM · $163M to $141M
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $205M to $163M
Mar 29, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $205M to $163M
Mar 29, 2018 to Mar 29, 2019
RAUM · $205M to $163M
Mar 29, 2018 to Mar 29, 2019
Charity clients · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Corporate clients · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
HNW clients · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Individual clients · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Pension plan clients · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 4.0
Mar 30, 2017 to Mar 29, 2018
Financial planning clients · 0 to unset
Mar 30, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Discretionary RAUM · $205M to $205M
Mar 30, 2017 to Mar 29, 2018
HNW RAUM · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Individual RAUM · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Pension RAUM · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 205189505.0
Mar 30, 2017 to Mar 29, 2018
RAUM · $205M to $205M
Mar 30, 2017 to Mar 29, 2018
Related adviser · true to false
Mar 30, 2017 to Mar 29, 2018
Discretionary RAUM · $196M to $205M
Mar 30, 2016 to Mar 30, 2017
RAUM · $196M to $205M
Mar 30, 2016 to Mar 30, 2017
Discretionary RAUM · $238M to $196M
May 29, 2015 to Mar 30, 2016
RAUM · $238M to $196M
May 29, 2015 to Mar 30, 2016
Accounts · 7 to 4
Mar 28, 2014 to Mar 30, 2015
Advisory employees · 5 to 3
Mar 28, 2014 to Mar 30, 2015
Employees · 8 to 4
Mar 28, 2014 to Mar 30, 2015
Discretionary RAUM · $484M to $238M
Mar 28, 2014 to Mar 30, 2015
RAUM · $484M to $238M
Mar 28, 2014 to Mar 30, 2015
Accounts · 6 to 7
Mar 18, 2013 to Mar 28, 2014
Discretionary RAUM · $502M to $484M
Mar 18, 2013 to Mar 28, 2014
RAUM · $502M to $484M
Mar 18, 2013 to Mar 28, 2014
Accounts · 5 to 6
Sep 27, 2012 to Mar 18, 2013
Advisory employees · unset to 5.0
Sep 27, 2012 to Mar 18, 2013
Business name · A•• I• M••••••••• L••• ••••••• A••••••• to A•• I• C••••••• L•••••
Sep 27, 2012 to Mar 18, 2013
Assets in custody · 301214154.0 to unset
Sep 27, 2012 to Mar 18, 2013
Custody of client assets · true to false
Sep 27, 2012 to Mar 18, 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