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A••• I••••••••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser4 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $116M of regulatory assets.

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

Last reported RAUM
$116M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+318%
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 131845 · SEC 801-63257 · 3 filingsShow
CRD 131845SEC 801-63257First filing on the tape Mar 21, 2012, latest Jun 17, 2013IAPD
RAUM
$116M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$22.6M gross assets
History
3 filings and snapshots on the tape
RAUM$27.7M as of Apr 1, 2013
Mar 21, 2012$27.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 4
Private funds5 as of Apr 1, 2013
Mar 21, 20125 then
RAUM +318% over the last fiscal year
Practice profile
derived from the filing of Jun 17, 2013; 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
$12.9MderivedRAUM 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
-0.1%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 pooled vehiclesreportedItem 5.G
Custody
$22.6M, 4 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • 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
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
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$22.6M for 4 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
      A••• O••••••• L•••••• L••••••••• F••• L•••no longer reportedHedge Fund$11.2M5Mar 21, 2012
      A••• L•••••• L••••••••• F••• L•Hedge Fund$2.3M9Mar 21, 2012
      A••••••••• F••• P••••••• L•Other Private Fund$00Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• J••••• N•••••••• · Chief Executive Officer, Limited Partnercontrol
        since 12/2002 · owns less than 5%
      • C••••••••• L••••• T•••••• · Chief Compliance Officer/Chief Operating Officercontrol
        since 07/2004 · owns less than 5%
      • A•••• J••••• N•••••••• · Sole And Managing Membercontrol
        since 12/2002 · owns 75% or more of A••• F••• M••••••••• L••
      • N•••••• A•••••• P••• · Chief Financial Officer
        since 01/2009 · owns less than 5%
      • S••••••• D•••••• B•••• · President
        since 07/2012 · owns less than 5%
      Entity owners
      • A••• F••• M••••••••• L•• · General Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••••••• F••• G•• L••
        investment adviserpooled vehicle sponsory
      • A••• F••• M••••••••• L••
        investment adviserpooled vehicle sponsory
      • A•• R••• G• L••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 1 to 2
        Apr 1, 2013 to Jun 17, 2013
      • Assets in custody · $27.7M to $22.6M
        Apr 1, 2013 to Jun 17, 2013
      • Private funds · 5 to 4
        Apr 1, 2013 to Jun 17, 2013
      • Discretionary RAUM · $27.7M to $116M
        Apr 1, 2013 to Jun 17, 2013
      • RAUM · $27.7M to $116M
        Apr 1, 2013 to Jun 17, 2013
      • Accounts · 5 to 9
        Mar 21, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Mar 21, 2012 to Apr 1, 2013
      • Assets in custody · $27.8M to $27.7M
        Mar 21, 2012 to Apr 1, 2013
      • Employees · unset to 4.0
        Mar 21, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 21, 2012 to Apr 1, 2013
      • Discretionary RAUM · $27.8M to $27.7M
        Mar 21, 2012 to Apr 1, 2013
      • RAUM · $27.8M to $27.7M
        Mar 21, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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