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Former SEC-registered adviser

A••••• C•••••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 127014SEC 801-72708IAPD
Latest filing Jul 1, 2016
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$151M as of Feb 24, 2016
Mar 30, 2012$45.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 24, 2016
Apr 2, 20130 then
Employees (5.A)5 as of Feb 24, 2016
Apr 2, 20136 then
Private funds1 as of Feb 24, 2016
Mar 30, 20121 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-7.0%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
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• C•••••••• O••••••••• M••••• F••• L•••Hedge Fund$33.0M2Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• D••••• J•• · Managing Membercontrol
        since 05/2003 · owns 50% to 75%
      • N•••••• H•••••• M••• · Managing Membercontrol
        since 05/2003 · owns 50% to 75%
      • Z••••• J••• · Chief Compliance Officercontrol
        since 12/2014 · owns less than 5%
      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 · 7.0 to unset
        Feb 24, 2016 to Jul 1, 2016
      • Advisory employees · 4 to 2
        Feb 24, 2016 to Jul 1, 2016
      • Advisory activities · 2 to 1
        Feb 24, 2016 to Jul 1, 2016
      • Employees · 5 to 2
        Feb 24, 2016 to Jul 1, 2016
      • Private funds · 1 to unset
        Feb 24, 2016 to Jul 1, 2016
      • Discretionary RAUM · 150700000.0 to unset
        Feb 24, 2016 to Jul 1, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Feb 24, 2016 to Jul 1, 2016
      • RAUM · 150700000.0 to unset
        Feb 24, 2016 to Jul 1, 2016
      • Discretionary RAUM · $162M to $151M
        May 28, 2015 to Feb 24, 2016
      • RAUM · $162M to $151M
        May 28, 2015 to Feb 24, 2016
      • Financial planning clients · 1-10 to unset
        Jan 30, 2015 to May 28, 2015
      • Accounts · 5 to 7
        Mar 31, 2014 to Jan 30, 2015
      • Financial planning clients · unset to 1-10
        Mar 31, 2014 to Jan 30, 2015
      • Discretionary RAUM · $273M to $162M
        Mar 31, 2014 to Jan 30, 2015
      • RAUM · $273M to $162M
        Mar 31, 2014 to Jan 30, 2015
      • Advisory employees · 5 to 4
        Apr 2, 2013 to Mar 31, 2014
      • Employees · 6 to 5
        Apr 2, 2013 to Mar 31, 2014
      • Discretionary RAUM · $130M to $273M
        Apr 2, 2013 to Mar 31, 2014
      • RAUM · $130M to $273M
        Apr 2, 2013 to Mar 31, 2014
      • Accounts · 4 to 5
        Mar 30, 2012 to Apr 2, 2013
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Apr 2, 2013
      • Employees · unset to 6.0
        Mar 30, 2012 to Apr 2, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Apr 2, 2013
      • Discretionary RAUM · $45.3M to $130M
        Mar 30, 2012 to Apr 2, 2013
      • RAUM · $45.3M to $130M
        Mar 30, 2012 to Apr 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