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Former SEC-registered adviser

F••• R••••••• A•• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 130263SEC 801-62724IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$567M
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
11
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$500M gross assets
History
9 filings and snapshots on the tape
RAUM$567M as of Mar 31, 2017
Mar 30, 2012$3.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 30, 20120 then
Employees (5.A)11 as of Mar 31, 2017
Mar 28, 201333 then
Private funds2 as of Mar 31, 2017
Mar 30, 20126 then
RAUM -81% over the last fiscal year-54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$94.5MderivedRAUM 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
-81%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$500M, 5 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • 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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$500M for 5 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
      F••• M•••• S••••••• M••••• F•••• L•••Hedge Fund$404M26Mar 30, 2012
      F•••••• F••• L••••••Hedge Fund$131M3Mar 30, 2012
      F••• E••••••• C••••• D••••••••• M••••• F•••• L•no longer reportedHedge Fund$114M30Mar 30, 2012
      F••• C•• L••• 2•••••Other Private Fund$107M1Mar 30, 2012
      F••• J•••• C••••• O••••••••• M••••• F•••• L•••Hedge Fund$96.5M2Mar 30, 2012
      F••• E•••• M•••• S••••••• F•••• L•••no longer reportedHedge Fund$2.4M1Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• D•••••• M••• · Chief Financial Officercontrol
        since 06/2007 · owns less than 5%
      • B•••••••• A•• · Chief Legal Officer, Chief Compliance Officercontrol
        since 04/2008 · owns less than 5%
      • L•• Y••••• · L•••••• Partner (F••• R••••••• & Management, LP); Managing Member (M•••••• L•• L••); Chief Investment Officer; Ceocontrol
        since 02/2003 · owns 50% to 75%
      • S•••••• U••••• · L•••••• Partner; Head Of R•••••••control
        since 01/2005 · owns 5% to 10%
      • L•• Y••••• · Managing Membercontrol
        since 02/2003 · owns 75% or more of M•••••• L•• L••
      Entity owners
      • M•••••• L•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • F••• G• I•• L••
        investment adviserbankpooled vehicle sponsorn
      • F••• G• I••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 6
        Sep 8, 2016 to Mar 31, 2017
      • Advisory employees · 13 to 6
        Sep 8, 2016 to Mar 31, 2017
      • Assets in custody · $2.5B to $500M
        Sep 8, 2016 to Mar 31, 2017
      • Employees · 25 to 11
        Sep 8, 2016 to Mar 31, 2017
      • Private funds · 3 to 2
        Sep 8, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.6B to $567M
        Sep 8, 2016 to Mar 31, 2017
      • RAUM · $2.6B to $567M
        Sep 8, 2016 to Mar 31, 2017
      • Advisory activities · 1 to 2
        Mar 30, 2016 to Sep 8, 2016
      • Assets in custody · $2.8B to $2.5B
        Mar 30, 2016 to Sep 8, 2016
      • Employees · 26 to 25
        Mar 30, 2016 to Sep 8, 2016
      • Private funds · 4 to 3
        Mar 30, 2016 to Sep 8, 2016
      • Discretionary RAUM · $3.1B to $2.6B
        Mar 30, 2016 to Sep 8, 2016
      • RAUM · $3.1B to $2.6B
        Mar 30, 2016 to Sep 8, 2016
      • Accounts · 8 to 7
        Mar 25, 2015 to Mar 30, 2016
      • Advisory employees · 16 to 13
        Mar 25, 2015 to Mar 30, 2016
      • Assets in custody · $4.0B to $2.8B
        Mar 25, 2015 to Mar 30, 2016
      • Employees · 30 to 26
        Mar 25, 2015 to Mar 30, 2016
      • Private funds · 5 to 4
        Mar 25, 2015 to Mar 30, 2016
      • Discretionary RAUM · $4.4B to $3.1B
        Mar 25, 2015 to Mar 30, 2016
      • RAUM · $4.4B to $3.1B
        Mar 25, 2015 to Mar 30, 2016
      • Accounts · 9 to 8
        Mar 31, 2014 to Mar 25, 2015
      • Assets in custody · $5.4B to $4.0B
        Mar 31, 2014 to Mar 25, 2015
      • Discretionary RAUM · $6.0B to $4.4B
        Mar 31, 2014 to Mar 25, 2015
      • RAUM · $6.0B to $4.4B
        Mar 31, 2014 to Mar 25, 2015
      • Accounts · 12 to 9
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · 18 to 16
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $5.5B to $5.4B
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 33 to 30
        Mar 28, 2013 to Mar 31, 2014
      • Private funds · 6 to 5
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $6.4B to $6.0B
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $6.4B to $6.0B
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 18.0
        Apr 25, 2012 to Mar 28, 2013
      • Assets in custody · $3.2M to $5.5B
        Apr 25, 2012 to Mar 28, 2013
      • Employees · unset to 33.0
        Apr 25, 2012 to Mar 28, 2013
      • Discretionary RAUM · $3.7B to $6.4B
        Apr 25, 2012 to Mar 28, 2013
      • RAUM · $3.7B to $6.4B
        Apr 25, 2012 to Mar 28, 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