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C•••• H••• C•••••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $214M of regulatory assets.

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

Last reported RAUM
$214M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
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
What we can say about this record

We hold 2 Form ADV filings for this adviser, the latest 14.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 134068 · SEC 801-73885 · 2 filingsShow
CRD 134068SEC 801-73885First filing on the tape Feb 14, 2012, latest May 11, 2012IAPD
RAUM
$214M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$214M gross assets
History
2 filings and snapshots on the tape
RAUM$214M as of May 11, 2012
Feb 14, 2012$214M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 11, 2012
Feb 14, 20120 then
Employees (5.A): no history
Private funds3 as of May 11, 2012
Feb 14, 20123 then
Practice profile
derived from the filing of May 11, 2012; 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
$21.4MderivedRAUM 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
unknownderivedbetween 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
Custody
yesreportedItem 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
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 2 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
      C•••• H••• C•••••• P••••••• M••••• F•••• L•••Hedge Fund$34.8M6Feb 14, 2012
      T•••••••• C•••••• P••••••• M••••• F•••• L•Hedge Fund$2.1M7Feb 14, 2012
      C•••• H••• M••••••• O••••••••• M••••• F•••• L•••Private Equity Fund$246,44719Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• C••••••• G••••• · Managercontrol
        since 01/2005 · owns less than 5%
      • M••••••• M••••••• L•••• · Chief Compliance Officer And General Counselcontrol
        since 05/2012 · owns less than 5%
      • P••••• F••••• J••••• · Chief Financial Officercontrol
        since 01/2005 · owns less than 5%
      • W••••• E•••• K••• · Managercontrol
        since 01/2005 · owns less than 5%
      • C••••••••• C••••••• G••••• · Membercontrol
        since 01/2005 · owns 25% to 50% of C•••• H••• P•••••••• L••
      • C••••••••• C••••••• G••••• · Limited Partnercontrol
        since 01/2005 · owns 25% to 50% of C•••• H••• C•••••• P••••••• I•• L•
      • W••••• E•••• K••• · Membercontrol
        since 01/2005 · owns 50% to 75% of C•••• H••• P•••••••• L••
      • W••••• E•••• K••• · Limited Partnercontrol
        since 01/2005 · owns 25% to 50% of C•••• H••• C•••••• P••••••• I•• L•
      Entity owners
      • C•••• H••• C•••••• P••••••• I•• L• · Member
        direct · owns 75% or more
      • C•••• H••• P•••••••• L•• · General Partner
        indirect · owns F of C•••• H••• C•••••• P••••••• I•• L•
      Related persons
      Schedule D 7.A
      • C•••• H••• C•••••• G• I• L••
        bankpooled vehicle sponsorn
      • C•••• H••• C•••••• G• I•• L••
        bankpooled vehicle sponsorn
      • C•••• H••• F••• M••••••••• L••
        bankpooled vehicle sponsorn
      • C•••• H••• M••••••• F••• G•• L••
        pooled vehicle sponsorn
      • T•••••••• F••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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