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Former SEC-registered adviser

P•••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York City, New YorkCRD 133043SEC 801-67912IAPD
Latest filing Mar 26, 2019
First filing on the tape Apr 2, 2012 · 11 filings
RAUM
$186M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$186M gross assets
History
11 filings and snapshots on the tape
RAUM$186M as of Mar 26, 2019
Apr 2, 2012$566M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 26, 20131 then
Employees (5.A)4 as of Mar 26, 2019
Mar 26, 20136 then
Private funds1 as of Mar 26, 2019
Apr 2, 20123 then
RAUM -49% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2019; 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
$62.0MderivedRAUM 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
-49%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 vehiclesreportedItem 5.G
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)
  • 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
  • Pooled investment vehicles$186M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
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
      P•••••• C•••••• M••••• F•••• L••Hedge Fund$186M30Apr 2, 2012
      P•••••• C•••••• O•••••••• L••no longer reportedHedge Fund$131M18Apr 2, 2012
      P•••••• C••••••• L•no longer reportedHedge Fund$113M28Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••••• S••••• R••••• · Chief Financial Officer/Chief Compliance Officercontrol
        since 12/2016 · owns less than 5%
      • R••••••• Y•••••• K• · Managing Membercontrol
        since 06/2004 · owns 75% or more
      • C••••••• D•••••• P•••• · Senior Analyst/Member
        since 08/2015 · owns less than 5%
      • T•••• P••• •••••• · Senior Analyst/Member
        since 04/2011 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • R•••• K•••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $362M to $186M
        Mar 27, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $362M to $186M
        Mar 27, 2018 to Mar 26, 2019
      • RAUM · $362M to $186M
        Mar 27, 2018 to Mar 26, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 27, 2018
      • Discretionary RAUM · $333M to $362M
        Mar 31, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 361893385.0
        Mar 31, 2017 to Mar 27, 2018
      • RAUM · $333M to $362M
        Mar 31, 2017 to Mar 27, 2018
      • Accounts · 4 to 3
        Dec 27, 2016 to Mar 31, 2017
      • Advisory employees · 4 to 3
        Dec 27, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Dec 27, 2016 to Mar 31, 2017
      • Employees · 5 to 4
        Dec 27, 2016 to Mar 31, 2017
      • State-registered IARs · 1 to 0
        Dec 27, 2016 to Mar 31, 2017
      • Private funds · 3 to 1
        Dec 27, 2016 to Mar 31, 2017
      • Discretionary RAUM · $467M to $333M
        Dec 27, 2016 to Mar 31, 2017
      • RAUM · $467M to $333M
        Dec 27, 2016 to Mar 31, 2017
      • Accounts · 5 to 4
        Mar 25, 2015 to Mar 8, 2016
      • Employees · 6 to 5
        Mar 25, 2015 to Mar 8, 2016
      • Discretionary RAUM · $1.4B to $467M
        Mar 25, 2015 to Mar 8, 2016
      • RAUM · $1.4B to $467M
        Mar 25, 2015 to Mar 8, 2016
      • Discretionary RAUM · $1.1B to $1.4B
        Mar 28, 2014 to Mar 25, 2015
      • RAUM · $1.1B to $1.4B
        Mar 28, 2014 to Mar 25, 2015
      • Discretionary RAUM · $472M to $1.1B
        Mar 26, 2013 to Mar 28, 2014
      • RAUM · $472M to $1.1B
        Mar 26, 2013 to Mar 28, 2014
      • Related bank · false to true
        Mar 26, 2013 to Mar 28, 2014
      • Advisory employees · unset to 4.0
        Apr 2, 2012 to Mar 26, 2013
      • Employees · unset to 6.0
        Apr 2, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 1.0
        Apr 2, 2012 to Mar 26, 2013
      • Discretionary RAUM · $566M to $472M
        Apr 2, 2012 to Mar 26, 2013
      • RAUM · $566M to $472M
        Apr 2, 2012 to Mar 26, 2013
      Signals
      1 dated events
      • P•••••• C•••••• M••••••••• L•• reported RAUM $186.1M, down 49% from $361.9M (2018-03-27 to 2019-03-26)
        Mar 26, 2019 · RAUM change · derived
      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