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Former SEC-registered adviser

A•• C•••••• M••••••••• L•••

Former SEC-registered adviserSolana Beach, CaliforniaCRD 134246SEC 801-63926IAPD
Latest filing May 29, 2012
First filing on the tape Feb 15, 2012 · 6 filings
RAUM
$41.1M
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
1
$21.1M gross assets
History
6 filings and snapshots on the tape
RAUM$41.1M as of May 29, 2012
Feb 15, 2012$41.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 29, 2012
Feb 15, 20120 then
Employees (5.A): no history
Private funds1 as of May 29, 2012
May 29, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 29, 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
$20.6MderivedRAUM 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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$21.1M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$21.1M for 1 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•• P••••••• L•Hedge Fund$21.1M17May 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••• D•••••• P•••••• · Managing Director, LP, Portfolio Manager, Chief Compliance Officercontrol
        since 01/2005 · owns 75% or more
      • W••••••• D•••••• P•••••• · Mgr.control
        since 01/2005 · owns 75% or more of A•• C•••••• L••
      • H••••• M••••••• · Director Of Administration
        since 06/2010 · owns 5% to 10%
      Entity owners
      • A•• C•••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list A•• C•••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · unset to 1
        May 4, 2012 to May 29, 2012
      • Assets in custody · unset to 21108208.0
        Feb 15, 2012 to Feb 15, 2012
      • Custody of client assets · false to true
        Feb 15, 2012 to Feb 15, 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