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Former SEC-registered adviser

F•••••• • C••• L•

Former SEC-registered adviserNew York, New YorkCRD 131352SEC 801-63067IAPD
Latest filing Mar 27, 2018
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$500M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
81%
$406M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$63.6M gross assets
History
13 filings and snapshots on the tape
RAUM$500M as of Mar 27, 2018
Mar 30, 2012$301M then
HNW client RAUM: $406M
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 28, 20130 then
Employees (5.A)8 as of Mar 27, 2018
Mar 28, 20138 then
Private funds3 as of Mar 27, 2018
Mar 30, 20128 then
RAUM -19% over the last fiscal year-6.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2018; 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
$17.6MderivedHNW RAUM over HNW clients
Average account
$15.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
15%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
-19%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$30.2M, 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$406M82%
  • Pension and profit-sharing plans$73.1M15%
  • Pooled investment vehicles$7.4M1.5%
  • Corporations and businesses$5.7M1.1%
  • Charitable organizations$1.5M0.3%
  • Individuals$606,6160.1%
Individual clients
n/areported
HNW clients
23reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
32reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$30.2M for 6 clientsreported
Compensation
% of AUM, fixedreported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••• G••••••• F•••• L•••no longer reportedHedge Fund$61.1M114Mar 30, 2012
      F•••••• C••••• S••••••••• L•no longer reportedHedge Fund$38.4M12Mar 30, 2012
      F•••••• S••••• F•••• L•••no longer reportedHedge Fund$26.9M47Mar 30, 2012
      F•••••• O••••••• F•••• L•••no longer reportedHedge Fund$16.0M183Mar 30, 2012
      F•• C••••••• L•••no longer reportedHedge Fund$7.0M5Mar 28, 2013
      F•••••• S•••••••• L••Real Estate Fund$2.1M3Mar 30, 2016
      F•••••• S•••••• O••••••••• F•••• L•••no longer reportedHedge Fund$1.2M44Mar 30, 2012
      F•••••• A••••• S••• L•no longer reportedHedge Fund$533,6219Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• D••••• •••• · Partnercontrol
        since 01/2004 · owns 25% to 50%
      • R•••• A••••••• A•••••• · Chief Operating Officer/Chief Compliance Officercontrol
        since 09/2015 · owns less than 5%
      • A•••• F•••••• · Membercontrol
        since 01/2002 · owns 75% or more of F•••••• • C••• L••
      • C••••• J••••• H••••••••• · Partner
        since 01/2008 · owns 5% to 10%
      Entity owners
      • F•••••• • C••• L•• · General Partner
        direct · owns less than 5%
      • F•••••• F••••• P••••••• L• · Partner
        direct · owns 50% to 75%
      • F•••••• F••••• I••••••••• L•• · General Partner
        indirect · owns F of F•••••• F••••• P••••••• L•
      Related persons
      Schedule D 7.A
      • F•••••• E••••••••• C•••••• M••••••••• L••
        bankpooled vehicle sponsorn
      • F•••••• G••••• O••••••••• C•••••• M••••••••• L••
        bankpooled vehicle sponsorn
      • F•• C•••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 39 to 32
        Aug 10, 2017 to Mar 27, 2018
      • HNW clients · unset to 23.0
        Aug 10, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 3.0
        Aug 10, 2017 to Mar 27, 2018
      • Assets in custody · unset to 30188112.0
        Aug 10, 2017 to Mar 27, 2018
      • Custody of client assets · false to true
        Aug 10, 2017 to Mar 27, 2018
      • Employees · 10 to 8
        Aug 10, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Aug 10, 2017 to Mar 27, 2018
      • Private funds · 4 to 3
        Aug 10, 2017 to Mar 27, 2018
      • Discretionary RAUM · $557M to $431M
        Aug 10, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 405556828.0
        Aug 10, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 606616.0
        Aug 10, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $60.3M to $69.6M
        Aug 10, 2017 to Mar 27, 2018
      • Pension RAUM · unset to 73084719.0
        Aug 10, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 7409753.0
        Aug 10, 2017 to Mar 27, 2018
      • RAUM · $617M to $500M
        Aug 10, 2017 to Mar 27, 2018
      • Advisory employees · 8 to 7
        Jul 13, 2016 to Mar 27, 2017
      • Employees · 15 to 10
        Jul 13, 2016 to Mar 27, 2017
      • Private funds · 6 to 4
        Jul 13, 2016 to Mar 27, 2017
      • Discretionary RAUM · $516M to $557M
        Jul 13, 2016 to Mar 27, 2017
      • Non-discretionary RAUM · $52.5M to $60.3M
        Jul 13, 2016 to Mar 27, 2017
      • RAUM · $569M to $617M
        Jul 13, 2016 to Mar 27, 2017
      • Accounts · 27 to 39
        Nov 18, 2015 to Mar 30, 2016
      • Advisory employees · 7 to 8
        Nov 18, 2015 to Mar 30, 2016
      • Advisory activities · 5 to 4
        Nov 18, 2015 to Mar 30, 2016
      • Employees · 13 to 15
        Nov 18, 2015 to Mar 30, 2016
      • Financial planning clients · 26-50 to 0
        Nov 18, 2015 to Mar 30, 2016
      • Private funds · 7 to 6
        Nov 18, 2015 to Mar 30, 2016
      • Discretionary RAUM · $515M to $516M
        Nov 18, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $50.6M to $52.5M
        Nov 18, 2015 to Mar 30, 2016
      • RAUM · $566M to $569M
        Nov 18, 2015 to Mar 30, 2016
      • Accounts · 28 to 27
        Mar 31, 2015 to Nov 18, 2015
      • Employees · 12 to 13
        Mar 31, 2015 to Nov 18, 2015
      • Financial planning clients · 11-25 to 26-50
        Mar 31, 2015 to Nov 18, 2015
      • Private funds · 6 to 7
        Mar 31, 2015 to Nov 18, 2015
      • Discretionary RAUM · $483M to $515M
        Mar 31, 2015 to Nov 18, 2015
      • Non-discretionary RAUM · $135M to $50.6M
        Mar 31, 2015 to Nov 18, 2015
      • RAUM · $618M to $566M
        Mar 31, 2015 to Nov 18, 2015
      • Accounts · 16 to 28
        Jul 7, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 7
        Jul 7, 2014 to Mar 31, 2015
      • Assets in custody · 203495839.0 to unset
        Jul 7, 2014 to Mar 31, 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
      Across the graphs

      F•••••• • C••• L• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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