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Former SEC-registered adviser

P••••••• A•••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 134556SEC 801-75390IAPD
Latest filing Dec 18, 2020
First filing on the tape Mar 29, 2012 · 23 filings
RAUM
$562M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$620M gross assets
History
23 filings and snapshots on the tape
RAUM$562M as of Mar 28, 2019
Mar 27, 2013$93.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 27, 20130 then
Employees (5.A)7 as of Mar 28, 2019
Mar 27, 20133 then
Private funds3 as of Mar 28, 2019
Mar 28, 20143 then
RAUM +4.7% over the last fiscal year+34% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Dec 18, 2020; 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
$187MderivedRAUM 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
+4.7%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 advisersreportedItem 5.G
Custody
$461M, 3 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
  • has discretionary authority over which securities are bought or sold (8.C.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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$562M100%
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
$461M for 3 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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• T•••••• A••••••• M••••• L•Hedge Fund$310M0Mar 28, 2019
      P••••••• T•••••• A••••••• I••••••••• L•••Hedge Fund$231M38Mar 28, 2014
      P••••••• T•••••• A•••••••• L•Hedge Fund$78.8M37Mar 28, 2014
      P••••••• A•••• F••• L•no longer reportedHedge Fund$29.0M2Mar 26, 2015
      P•• I••• L•no longer reportedHedge Fund$24.4M1Mar 26, 2015
      P•• I•• L•no longer reportedHedge Fund$5.6M1Mar 26, 2015
      P•• I•• L•no longer reportedHedge Fund$2.5M1Mar 26, 2015
      P••••••• C•••••• M••••••••• L•••no longer reportedHedge Fund$1.2M8Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• J•••• P•••••• · Chief Compliance Officercontrol
        since 01/2015 · owns less than 5%
      • S•••••• J••••••• R•••••• · Ceocontrol
        since 10/2004 · owns less than 5%
      • H•••••• J•••• P•••••• · Managing Membercontrol
        since 01/2015 · owns 50% to 75% of P••••••• A•••• M••••••••• L••
      • S•••••• J••••••• R•••••• · Managing Membercontrol
        since 10/2004 · owns 50% to 75% of P••••••• A•••• M••••••••• L••
      Entity owners
      • P••••••• A•••• M••••••••• L•• · General Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 0
        Dec 18, 2020 to Dec 18, 2020
      • Accounts · 2 to 3
        May 1, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 2 to 3
        May 1, 2018 to Mar 28, 2019
      • Assets in custody · $537M to $461M
        May 1, 2018 to Mar 28, 2019
      • Employees · 6 to 7
        May 1, 2018 to Mar 28, 2019
      • Private funds · 2 to 3
        May 1, 2018 to Mar 28, 2019
      • Discretionary RAUM · $537M to $562M
        May 1, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $537M to $562M
        May 1, 2018 to Mar 28, 2019
      • RAUM · $537M to $562M
        May 1, 2018 to Mar 28, 2019
      • Accounts · 3 to 2
        Sep 28, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 2.0
        Sep 28, 2017 to Mar 26, 2018
      • Assets in custody · $332M to $537M
        Sep 28, 2017 to Mar 26, 2018
      • Other offices · unset to 1.0
        Sep 28, 2017 to Mar 26, 2018
      • Private funds · 3 to 2
        Sep 28, 2017 to Mar 26, 2018
      • Discretionary RAUM · $332M to $537M
        Sep 28, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 536578192.0
        Sep 28, 2017 to Mar 26, 2018
      • RAUM · $332M to $537M
        Sep 28, 2017 to Mar 26, 2018
      • Related adviser · true to false
        Sep 28, 2017 to Mar 26, 2018
      • Related adviser · false to true
        Mar 28, 2017 to Sep 28, 2017
      • Accounts · 5 to 3
        Dec 21, 2016 to Mar 28, 2017
      • Assets in custody · unset to 331529213.0
        Dec 21, 2016 to Mar 28, 2017
      • Custody of client assets · false to true
        Dec 21, 2016 to Mar 28, 2017
      • Employees · 5 to 6
        Dec 21, 2016 to Mar 28, 2017
      • Discretionary RAUM · $232M to $332M
        Dec 21, 2016 to Mar 28, 2017
      • RAUM · $232M to $332M
        Dec 21, 2016 to Mar 28, 2017
      • Private funds · 6 to 3
        Aug 4, 2016 to Oct 19, 2016
      • Discretionary RAUM · $92.4M to $232M
        Apr 24, 2015 to Mar 29, 2016
      • RAUM · $92.4M to $232M
        Apr 24, 2015 to Mar 29, 2016
      • Related adviser · true to false
        Apr 24, 2015 to Mar 29, 2016
      • Accounts · 1 to 5
        Oct 31, 2014 to Mar 26, 2015
      • Business name · P••••••• A•••• M••••••••• I•• to P••••••• A•••• M••••••••• L•
        Oct 31, 2014 to Mar 26, 2015
      • Legal name · P••••••• A•••• M••••••••• I•• to P••••••• A•••• M••••••••• L•
        Oct 31, 2014 to Mar 26, 2015
      • Private funds · 3 to 6
        Oct 31, 2014 to Mar 26, 2015
      • Discretionary RAUM · $87.7M to $92.4M
        Oct 31, 2014 to Mar 26, 2015
      • RAUM · $87.7M to $92.4M
        Oct 31, 2014 to Mar 26, 2015
      • Succession · true to false
        Oct 31, 2014 to Mar 26, 2015
      • Organization form · Corporation to Limited Partnership
        Jul 11, 2014 to Oct 31, 2014
      • Succession · false to true
        Mar 28, 2014 to Jul 11, 2014
      • Accounts · 23 to 1
        Jul 30, 2013 to Mar 28, 2014
      • Advisory activities · 3 to 2
        Jul 30, 2013 to Mar 28, 2014
      Signals
      2 dated events
      • P••••••• A•••• M••••••••• L• reported RAUM $536.6M, up 62% from $331.5M (2017-09-28 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      • P••••••• A•••• M••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 11, 2014 · Succession (Item 4) · fact
      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