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Former SEC-registered adviser

A•••••• C•••••• M••••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 123021SEC 801-61518IAPD
Latest filing Jan 2, 2013
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$2.8B
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
10
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$2.7B gross assets
History
7 filings and snapshots on the tape
RAUM$2.8B as of Jan 2, 2013
Mar 30, 2012$9.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 10
Private funds7 as of Jan 2, 2013
Mar 30, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 2, 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
$400MderivedRAUM 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 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • 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
7reported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• I•• F••••••• L•••Securitized Asset Fund$1.0B21Jan 2, 2013
      A••••• I• F•••••• L•••Securitized Asset Fund$819M12Jan 2, 2013
      F•••••• I• F••••••• L•••Securitized Asset Fund$259M14Jan 2, 2013
      A•••••• F••••••• I••••••••• F••• S••Other Private Fund$11.0M1Mar 30, 2012
      F•••••• I• F•••••• L•••Securitized Asset Fund$9.0M15Jan 2, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• T•••••• E••••• · Key Manager, Portfolio Manager And Managing Directorcontrol
        since 12/2012 · owns less than 5%
      • L••••••• W••••••• S•••••• · Chief Investment Officer, Key Manager, Senior Portfolio Manager, Managing Directorcontrol
        since 02/2012 · owns less than 5%
      • M•••••••• S••••••• W• · Chief Financial Officer/Chief Operating Officercontrol
        since 05/2009 · owns less than 5%
      • S•••• S•••••• A•••••• · Smd-General Counsel/Chief Compliance Officercontrol
        since 01/2010 · owns less than 5%
      • A•••••• A•••••••• A••••••• · General Partnercontrol
        since 12/2003 · owns 75% or more of A••••• L•••••• P•••••••••
      Entity owners
      • A•••••• C•••••• H••••••• L•• · Member
        direct · owns 75% or more
      • A••••• L•••••• P••••••••• · Member
        indirect · owns 75% or more of A•••••• C•••••• H••••••• L••
      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 · 26 to 7
        Oct 16, 2012 to Jan 2, 2013
      • Advisory employees · unset to 7.0
        Oct 16, 2012 to Jan 2, 2013
      • Advisory activities · 3 to 1
        Oct 16, 2012 to Jan 2, 2013
      • BD registered reps · unset to 0.0
        Oct 16, 2012 to Jan 2, 2013
      • Assets in custody · 4154025.0 to unset
        Oct 16, 2012 to Jan 2, 2013
      • Employees · unset to 10.0
        Oct 16, 2012 to Jan 2, 2013
      • State-registered IARs · unset to 0.0
        Oct 16, 2012 to Jan 2, 2013
      • Private funds · 1 to 7
        Oct 16, 2012 to Jan 2, 2013
      • Discretionary RAUM · $9.1B to $2.8B
        Oct 16, 2012 to Jan 2, 2013
      • RAUM · $9.1B to $2.8B
        Oct 16, 2012 to Jan 2, 2013
      • Related adviser · true to false
        Oct 16, 2012 to Jan 2, 2013
      • Related broker-dealer · true to false
        Oct 16, 2012 to Jan 2, 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