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D•• H•••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private funds· Jericho, New York

Former SEC-registered adviser, based in Jericho, New York, reporting $28.6M of regulatory assets.

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

Last reported RAUM
$28.6M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-93%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 129271 · SEC 801-62551 · 4 filingsShow
CRD 129271SEC 801-62551First filing on the tape Mar 29, 2012, latest Mar 14, 2014IAPD
RAUM
$28.6M
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
8
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$7.1M gross assets
History
4 filings and snapshots on the tape
RAUM$28.6M as of Mar 14, 2014
Mar 29, 2012$660M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2014
Mar 26, 20130 then
Employees (5.A)8 as of Mar 14, 2014
Mar 26, 201310 then
Private funds2 as of Mar 14, 2014
Mar 29, 20123 then
RAUM -93% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2014; 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
$5.7MderivedRAUM 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
-93%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$7.1M, 2 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$7.1M for 2 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
      D•• S••••••••• L•• • G••••• A•••• P••••••••Hedge Fund$4.2M10Mar 29, 2012
      A••••••••• T••••••• S•••••••• L••Hedge Fund$3.0M3Mar 29, 2012
      D•• S••••••••• S•• • D•• S••••••••• P••••••••Hedge Fund$00Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• W••••••• L•••• · Chief Compliance Officercontrol
        since 10/2004 · owns less than 5%
      • B••••••• J•••••• A•••••• · Managing Membercontrol
        since 03/2003 · owns 75% or more of M•• H•••••••• L••
      • G•••••••• E•••••• L••••••• · Managing Membercontrol
        since 01/2002 · owns 50% to 75% of L••••••• I••••••••• L••
      • G•••••••• I••• B•••• · Membercontrol
        since 01/2002 · owns 25% to 50% of L••••••• I••••••••• L••
      • G•••••• W••••••• L•••• · Managing Membercontrol
        since 03/2002 · owns 75% or more of P•••••• B•• P•••••••• L••
      Entity owners
      • L••••••• I••••••••• L•• · Managing Member
        direct · owns 10% to 25%
      • M•• H•••••••• L•• · Managing Member
        direct · owns 25% to 50%
      • P•••••• B•• P•••••••• L•• · Managing Member
        direct · owns 10% to 25%
      • E••••••• B•••••• · Shareholder
        indirect · owns 75% or more of E••••••• S•••••• B•••
      • E••••••• S•••••• B••• · Shareholder
        indirect · owns 75% or more of E••••••• A••••••••• I••••••••• L••
      • N•• Y••• P•••••• B••• A•• T•••• C••••••••• · Shareholder
        indirect · owns 75% or more of E••••••• B••••••
      • T•• P••• M••••••• 1••• R•••••••• T•••• · Shareholder
        indirect · owns 75% or more of New Y••• P•••••• B••• And Truct Corporation
      • E••••••• A••••••••• I••••••••• L•• · Member
        direct · owns 10% to 25%
      • F•••••••• I•••••••• · Member
        direct · owns 10% to 25% · public reporting company
      Related persons
      Schedule D 7.A
      • D•• H•••• A••••••••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 92 to 5
        Mar 26, 2013 to Mar 14, 2014
      • Assets in custody · $9.1M to $7.1M
        Mar 26, 2013 to Mar 14, 2014
      • Employees · 10 to 8
        Mar 26, 2013 to Mar 14, 2014
      • Private funds · 3 to 2
        Mar 26, 2013 to Mar 14, 2014
      • Discretionary RAUM · $172M to $28.6M
        Mar 26, 2013 to Mar 14, 2014
      • Non-discretionary RAUM · $246M to $0
        Mar 26, 2013 to Mar 14, 2014
      • RAUM · $418M to $28.6M
        Mar 26, 2013 to Mar 14, 2014
      • Advisory employees · unset to 3.0
        Mar 29, 2012 to Mar 26, 2013
      • BD registered reps · unset to 1.0
        Mar 29, 2012 to Mar 26, 2013
      • Assets in custody · $9.7M to $9.1M
        Mar 29, 2012 to Mar 26, 2013
      • Employees · unset to 10.0
        Mar 29, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 26, 2013
      • Discretionary RAUM · $377M to $172M
        Mar 29, 2012 to Mar 26, 2013
      • Non-discretionary RAUM · $283M to $246M
        Mar 29, 2012 to Mar 26, 2013
      • RAUM · $660M to $418M
        Mar 29, 2012 to Mar 26, 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