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Former SEC-registered adviser

S•••• F• P••••••• L••

Former SEC-registered adviserS•••• Fe, New MexicoCRD 132840SEC 801-63591IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$849M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$105M gross assets
History
9 filings and snapshots on the tape
RAUM$849M as of Mar 30, 2015
Mar 30, 2012$183M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 28, 20130 then
Employees (5.A)7 as of Mar 30, 2015
Mar 28, 20137 then
Private funds6 as of Mar 30, 2015
Mar 30, 20126 then
RAUM +17% over the last fiscal year+67% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$84.9MderivedRAUM 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
+17%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$105M, 11 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)
  • 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
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$105M for 11 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
      C•••• E••••••• M••••• N•••••• L•••Hedge Fund$82.5M2Mar 30, 2012
      A•••••• L••• S•••• A• L•Hedge Fund$11.2M2Mar 30, 2012
      S•••• F• M••••• F•••Hedge Fund$9.3M19Mar 30, 2012
      A•••••• S••••••••• L••• S•••• B• •••••••• F•••• S•• M••••••••• S•••••••Hedge Fund$1.8M1Mar 30, 2012
      A•••••• S••••••••• L••• S•••• L• •••••••• F•••• S•• M••••••••• S•••••••Hedge Fund$591,0008Mar 30, 2012
      A•••••• M••••• N•••••• L• •••••••• F•••• S•• M••••••••• S•••••••Hedge Fund$97,8004Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• V••••••• M••• · Chief Compliance Officercontrol
        since 01/2011 · owns less than 5%
      • G••••••• G••••• · Member / Senior Portfolio Managercontrol
        since 10/2005 · owns 10% to 25%
      • L••••••••• J••••• D•••••• · Chief Executive Officer / Member Trusteecontrol
        since 12/2004 · owns 25% to 50%
      • L••••••••• M•••• M••••• · Trusteecontrol
        since 02/2014 · owns 25% to 50%
      • T••••••• L•••••••• L•••• · Member / Chief Technology Officercontrol
        since 12/2004 · owns 10% to 25%
      • K•••• M•••• R••••• · Co-Trusteecontrol
        since 12/2014 · owns F of M••• A•• P•••• K••• T••••
      • K•••• P••••• A•••• · Co-Trusteecontrol
        since 01/2015 · owns F of M••• A•• P•••• K••• T••••
      • L••••••••• J••••• D•••••• · Co-Trusteecontrol
        since 02/2014 · owns F of J•••• A•• M••• L••••••••• R•••••••• T••••
      • L••••••••• M•••• M••••• · Co-Trusteecontrol
        since 02/2014 · owns F of J•••• A•• M••• L••••••••• R•••••••• T••••
      • K•••• M•••• R••••• · Trustee
        since 12/2014 · owns 5% to 10%
      • K•••• P••••• A•••• · Trustee
        since 12/2014 · owns 5% to 10%
      • Z••••••••• T•••••• E••• · Member
        since 12/2004 · owns 5% to 10%
      Entity owners
      • J•••• A•• M••• L••••••••• R•••••••• T•••• · Member
        direct · owns 25% to 50%
      • J•••• A•• M••• L••••••••• R•••••••• T•••• · Member
        indirect · owns 25% to 50% of S•••• F• P••••••• L••
      • M••• A•• P•••• K••• T•••• · Member
        direct · owns 5% to 10%
      • M••• A•• P•••• K••• T•••• · Member
        indirect · owns F of S•••• F• P••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list S•••• F• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 10
        Aug 28, 2014 to Mar 30, 2015
      • Assets in custody · $149M to $105M
        Aug 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $676M to $849M
        Aug 28, 2014 to Mar 30, 2015
      • RAUM · $676M to $849M
        Aug 28, 2014 to Mar 30, 2015
      • Accounts · 8 to 9
        Mar 28, 2014 to Aug 28, 2014
      • Assets in custody · $169M to $149M
        Mar 28, 2014 to Aug 28, 2014
      • Discretionary RAUM · $724M to $676M
        Mar 28, 2014 to Aug 28, 2014
      • RAUM · $724M to $676M
        Mar 28, 2014 to Aug 28, 2014
      • Accounts · 9 to 8
        Sep 3, 2013 to Mar 28, 2014
      • Assets in custody · $119M to $169M
        Sep 3, 2013 to Mar 28, 2014
      • Discretionary RAUM · $573M to $724M
        Sep 3, 2013 to Mar 28, 2014
      • RAUM · $573M to $724M
        Sep 3, 2013 to Mar 28, 2014
      • Accounts · 7 to 9
        Mar 28, 2013 to Aug 28, 2013
      • Advisory activities · 2 to 3
        Mar 28, 2013 to Aug 28, 2013
      • Assets in custody · $104M to $119M
        Mar 28, 2013 to Aug 28, 2013
      • Discretionary RAUM · $413M to $573M
        Mar 28, 2013 to Aug 28, 2013
      • RAUM · $413M to $573M
        Mar 28, 2013 to Aug 28, 2013
      • Assets in custody · $68.5M to $104M
        Nov 26, 2012 to Mar 28, 2013
      • Discretionary RAUM · $419M to $413M
        Nov 26, 2012 to Mar 28, 2013
      • RAUM · $419M to $413M
        Nov 26, 2012 to Mar 28, 2013
      • Accounts · 6 to 7
        Mar 30, 2012 to Nov 26, 2012
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Nov 26, 2012
      • Employees · unset to 7.0
        Mar 30, 2012 to Nov 26, 2012
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Nov 26, 2012
      • Discretionary RAUM · $183M to $419M
        Mar 30, 2012 to Nov 26, 2012
      • RAUM · $183M to $419M
        Mar 30, 2012 to Nov 26, 2012
      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