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Former SEC-registered adviser

E••••••••• C•••••• L••

Former SEC-registered adviserFishkill, New YorkCRD 127679SEC 801-63068IAPD
Latest filing Oct 18, 2021
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$22.0M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$22.0M gross assets
History
12 filings and snapshots on the tape
RAUM$22.0M as of Mar 31, 2021
Mar 30, 2012$96.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20120 then
Employees (5.A)2 as of Mar 31, 2021
Mar 26, 20135 then
Private funds2 as of Mar 31, 2021
Mar 30, 20122 then
RAUM -15% over the last fiscal year-8.2% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Oct 18, 2021; 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
$7.3MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-15%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
Custody
$22.0M, 3 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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$22.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$22.0M for 3 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
      E••••••••• C•••••• M•••••• L••no longer reportedHedge Fund$19.4M15Mar 30, 2012
      E••••••••• C•••••• S•• I• L••no longer reportedOther Private Fund$15.7M8Mar 30, 2012
      E••••••••• C••••••• L•Hedge Fund$15.7M10Mar 31, 2021
      E••••••••• C•••••• S•• I•• L••no longer reportedOther Private Fund$9.5M6Mar 26, 2013
      E••••••••• C•••••• S•• I•• L••Other Private Fund$6.3M8Mar 29, 2017
      E••••••••• C•••••• S•• I••• L••no longer reportedOther Private Fund$01Mar 17, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• C••••••• I••• · Managing Membercontrol
        since 07/2003 · owns 75% or more
      • W••••••• C••••••••• M•••••• · Member, Chief Compliance Officer
        since 10/2014 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New Yrk, NY2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Jun 29, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 4 to 3
        Jun 29, 2020 to Mar 31, 2021
      • Assets in custody · $25.9M to $22.0M
        Jun 29, 2020 to Mar 31, 2021
      • HQ city · NEW YORK to FISHKILL
        Jun 29, 2020 to Mar 31, 2021
      • Other offices · 0 to 1
        Jun 29, 2020 to Mar 31, 2021
      • Discretionary RAUM · $25.9M to $22.0M
        Jun 29, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $25.9M to $22.0M
        Jun 29, 2020 to Mar 31, 2021
      • RAUM · $25.9M to $22.0M
        Jun 29, 2020 to Mar 31, 2021
      • Advisory employees · 3 to 2
        Mar 27, 2019 to May 5, 2020
      • Assets in custody · $33.5M to $25.9M
        Mar 27, 2019 to May 5, 2020
      • Employees · 4 to 2
        Mar 27, 2019 to May 5, 2020
      • Other offices · 1 to 0
        Mar 27, 2019 to May 5, 2020
      • Discretionary RAUM · $33.5M to $25.9M
        Mar 27, 2019 to May 5, 2020
      • Pooled vehicle RAUM · $33.5M to $25.9M
        Mar 27, 2019 to May 5, 2020
      • RAUM · $33.5M to $25.9M
        Mar 27, 2019 to May 5, 2020
      • Assets in custody · $28.4M to $33.5M
        Mar 20, 2018 to Mar 27, 2019
      • Discretionary RAUM · $28.4M to $33.5M
        Mar 20, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $28.4M to $33.5M
        Mar 20, 2018 to Mar 27, 2019
      • RAUM · $28.4M to $33.5M
        Mar 20, 2018 to Mar 27, 2019
      • Accounts · 5 to 4
        Mar 29, 2017 to Mar 20, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 29, 2017 to Mar 20, 2018
      • Assets in custody · $28.0M to $28.4M
        Mar 29, 2017 to Mar 20, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 20, 2018
      • Discretionary RAUM · $35.5M to $28.4M
        Mar 29, 2017 to Mar 20, 2018
      • Pooled vehicle RAUM · unset to 28386892.0
        Mar 29, 2017 to Mar 20, 2018
      • RAUM · $35.5M to $28.4M
        Mar 29, 2017 to Mar 20, 2018
      • Accounts · 22 to 5
        Mar 29, 2016 to Mar 29, 2017
      • Assets in custody · $42.6M to $28.0M
        Mar 29, 2016 to Mar 29, 2017
      • Financial planning clients · 0 to unset
        Mar 29, 2016 to Mar 29, 2017
      • Discretionary RAUM · $42.6M to $35.5M
        Mar 29, 2016 to Mar 29, 2017
      • RAUM · $42.6M to $35.5M
        Mar 29, 2016 to Mar 29, 2017
      • Accounts · 3 to 22
        Apr 10, 2015 to Mar 29, 2016
      • Assets in custody · $83.6M to $42.6M
        Apr 10, 2015 to Mar 29, 2016
      • Discretionary RAUM · $83.6M to $42.6M
        Apr 10, 2015 to Mar 29, 2016
      • RAUM · $83.6M to $42.6M
        Apr 10, 2015 to Mar 29, 2016
      • Accounts · 2 to 3
        Mar 17, 2014 to Apr 10, 2015
      • Assets in custody · $7.6M to $83.6M
        Mar 17, 2014 to Apr 10, 2015
      • Discretionary RAUM · $76.3M to $83.6M
        Mar 17, 2014 to Apr 10, 2015
      • RAUM · $76.3M to $83.6M
        Mar 17, 2014 to Apr 10, 2015
      • Related adviser · false to true
        Mar 17, 2014 to Apr 10, 2015
      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