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Former SEC-registered adviser

W••• A•••• M••••••••• I••••••••• L••

Former SEC-registered adviserSanta Fe, New MexicoCRD 132166SEC 801-64016IAPD
Latest filing Mar 26, 2013
First filing on the tape Mar 28, 2012 · 2 filings
RAUM
$467M
reported, Item 5.F
Discretionary
12%
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$2.1M gross assets
History
2 filings and snapshots on the tape
RAUM$467M as of Mar 26, 2013
Mar 28, 2012$255M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 7
Private funds1 as of Mar 26, 2013
Mar 28, 20123 then
RAUM +83% over the last fiscal year
Practice profile
derived from the filing of Mar 26, 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
$66.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
12%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
+83%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 vehicles, selection of other advisers, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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••••• S•••• F••• L••••••Hedge Fund$2.5M2Mar 28, 2012
      A••••• S•••• L•Hedge Fund$2.1M1Mar 28, 2012
      A••••• I• L•Hedge Fund$1.1M1Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••• M•••• R••••• · Ceocontrol
        since 11/2001 · owns 75% or more
      • M••••••• M•••• B•••• M•• · Chief Operating Officer/Chief Compliance Officercontrol
        since 11/2001 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 7
        Mar 28, 2012 to Mar 26, 2013
      • Advisory employees · unset to 4.0
        Mar 28, 2012 to Mar 26, 2013
      • Advisory activities · 2 to 3
        Mar 28, 2012 to Mar 26, 2013
      • Employees · unset to 7.0
        Mar 28, 2012 to Mar 26, 2013
      • HQ city · NEW YORK to S•••• FE
        Mar 28, 2012 to Mar 26, 2013
      • HQ state · NY to NM
        Mar 28, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Mar 28, 2012 to Mar 26, 2013
      • Private funds · 3 to 1
        Mar 28, 2012 to Mar 26, 2013
      • Discretionary RAUM · $71.3M to $54.0M
        Mar 28, 2012 to Mar 26, 2013
      • Non-discretionary RAUM · $183M to $413M
        Mar 28, 2012 to Mar 26, 2013
      • RAUM · $255M to $467M
        Mar 28, 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