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Former SEC-registered adviser

A•••••••• V•••• C••••••• L••

Former SEC-registered adviserSalt Lake City, UtahCRD 123417SEC 801-77796IAPD
Latest filing Mar 26, 2020
First filing on the tape Mar 18, 2013 · 17 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
89%
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$1.3B gross assets
History
17 filings and snapshots on the tape
RAUM$1.5B as of Mar 26, 2020
Mar 26, 2014$404M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 26, 2020
Mar 26, 20142 then
Employees (5.A)3 as of Mar 26, 2020
Mar 26, 20142 then
Private funds6 as of Mar 26, 2020
Mar 26, 20144 then
RAUM +17% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2020; every figure names its basis
RAUM per advisor
$732MderivedRAUM 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
$183MderivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
$1.3B, 6 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)
  • 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$1.3B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.3B for 6 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
      A•• B•••• L•Hedge Fund$328M2Mar 26, 2018
      A•• R••••• F••• U••• ••••• L••no longer reportedHedge Fund$85.4M60Mar 26, 2018
      W• R••••• F••• L•Hedge Fund$54.3M3Mar 19, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••••• B•••••••• J••••• · Chief Compliance Officercontrol
        since 03/2013 · owns less than 5%
      • M•••••• A••••• K•••• · Membercontrol
        since 08/2005 · owns 50% to 75% of M••••• C••••••• I•••
      • R•••••••• B•••••••• J••••• · Membercontrol
        since 08/2005 · owns 25% to 50% of B•• C••••••• I•••
      • M•••••• C••••• W••••••••• · Trustee
        since 12/1997 · owns F of C•••• W••••••••• M••••• F••••• L••••• T•••• D•••• 1•••••••••
      • M•••••• M•••••••• K•••• · Trustee
        since 12/1997 · owns F of C•••• W••••••••• M••••• F••••• L••••• T•••• D•••• 1•••••••••
      Entity owners
      • B•• C••••••• I••• · Direct Owner
        direct · owns 10% to 25%
      • M••••• C••••••• I••• · Direct Owner
        direct · owns 50% to 75%
      • C•••• W••••••••• M••••• F••••• L••••• T•••• D•••• 1••••••••• · Direct Owner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $1.1B to $1.3B
        Nov 8, 2019 to Mar 26, 2020
      • Discretionary RAUM · $1.1B to $1.3B
        Nov 8, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · $145M to $167M
        Nov 8, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $1.1B to $1.3B
        Nov 8, 2019 to Mar 26, 2020
      • RAUM · $1.3B to $1.5B
        Nov 8, 2019 to Mar 26, 2020
      • Assets in custody · $1.1B to $1.1B
        Apr 29, 2019 to Apr 30, 2019
      • Discretionary RAUM · $1.2B to $1.1B
        Jun 27, 2018 to Mar 19, 2019
      • Non-discretionary RAUM · $162M to $145M
        Jun 27, 2018 to Mar 19, 2019
      • Pooled vehicle RAUM · $1.1B to $1.1B
        Jun 27, 2018 to Mar 19, 2019
      • RAUM · $1.3B to $1.3B
        Jun 27, 2018 to Mar 19, 2019
      • Other offices · 0 to 1
        Mar 26, 2018 to Jun 27, 2018
      • Accounts · 7 to 8
        Mar 9, 2017 to Mar 26, 2018
      • Advisory employees · 2 to 3
        Mar 9, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 6.0
        Mar 9, 2017 to Mar 26, 2018
      • Assets in custody · $745M to $1.1B
        Mar 9, 2017 to Mar 26, 2018
      • Employees · 2 to 3
        Mar 9, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 9, 2017 to Mar 26, 2018
      • Private funds · 4 to 6
        Mar 9, 2017 to Mar 26, 2018
      • Discretionary RAUM · $1.1B to $1.2B
        Mar 9, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · $0 to $162M
        Mar 9, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 1119226000.0
        Mar 9, 2017 to Mar 26, 2018
      • RAUM · $1.1B to $1.3B
        Mar 9, 2017 to Mar 26, 2018
      • Accounts · 6 to 7
        Mar 8, 2016 to Mar 9, 2017
      • Assets in custody · $463M to $745M
        Mar 8, 2016 to Mar 9, 2017
      • Discretionary RAUM · $796M to $1.1B
        Mar 8, 2016 to Mar 9, 2017
      • RAUM · $796M to $1.1B
        Mar 8, 2016 to Mar 9, 2017
      • Assets in custody · $650M to $463M
        Nov 23, 2015 to Mar 8, 2016
      • Discretionary RAUM · $665M to $796M
        Nov 23, 2015 to Mar 8, 2016
      • RAUM · $665M to $796M
        Nov 23, 2015 to Mar 8, 2016
      • Assets in custody · $238M to $650M
        Sep 30, 2014 to Mar 12, 2015
      • Discretionary RAUM · $404M to $665M
        Sep 30, 2014 to Mar 12, 2015
      • RAUM · $404M to $665M
        Sep 30, 2014 to Mar 12, 2015
      • Accounts · 5 to 6
        Jan 7, 2014 to Mar 26, 2014
      • Assets in custody · $140M to $238M
        Jan 7, 2014 to Mar 26, 2014
      • Discretionary RAUM · $208M to $404M
        Jan 7, 2014 to Mar 26, 2014
      • RAUM · $208M to $404M
        Jan 7, 2014 to Mar 26, 2014
      Signals
      1 dated events
      • A•••••••• V•••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 18, 2013 · First SEC registration · fact
      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