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Former SEC-registered adviser

P••••••••• A•••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 134668SEC 801-64111IAPD
Latest filing May 7, 2012
First filing on the tape Jan 20, 2012 · 2 filings
RAUM
$94.5M
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
5
$189M gross assets
History
2 filings and snapshots on the tape
RAUM$94.5M as of May 7, 2012
Jan 20, 2012$489M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 7, 2012
Jan 20, 20120 then
Employees (5.A): no history
Private funds5 as of May 7, 2012
Jan 20, 201214 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 7, 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
$18.9MderivedRAUM 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
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
otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
5reported
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
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••••• D••••• L••Hedge Fund$69.5M12Jan 20, 2012
      P••••••••• S•••••• S••••••••• M••••• F••• L••••••Hedge Fund$18.4M5Jan 20, 2012
      P••••••••• 2••• L••••••••• L••••••Hedge Fund$12.8M261Jan 20, 2012
      P••••••••• S•••••• S••••••••• M••••• F••• I• L••••••Hedge Fund$6.9M3Jan 20, 2012
      P••••••••• 2••• L••••••••• L••••••Hedge Fund$2.9M112Jan 20, 2012
      P••••••••• O• M••••• F••• L••••••Hedge Fund$2.6M4Jan 20, 2012
      P••••••••• O• O••••••• F••••• F••• L••••••Hedge Fund$2.5M26Jan 20, 2012
      P••••••••• 2••• L••••••••• L••Hedge Fund$1.9M114Jan 20, 2012
      P••••••••• 2••• L••••••••• L••Hedge Fund$354,82018Jan 20, 2012
      P••••••••• S•••••• S••••••••• O••••••• F••••• F••• I• L••••••Hedge Fund$028Jan 20, 2012
      P••••••••• S•••••• S••••••••• O•••••• F••••• F••• I• L•Hedge Fund$036Jan 20, 2012
      P••••••••• S•••••• S••••••••• O•••••• F••••• F••• L•Hedge Fund$00Jan 20, 2012
      P••••••••• S•••••• S••••••••• O••••••• F••••• F••• L••••••Hedge Fund$00Jan 20, 2012
      P••••••••• S•••••• S••••••••• I••••••••• O••••••• F••••• F••• L••••••Hedge Fund$00Jan 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• A••••• M••••••••• · Managing Member & Chief Investment Officercontrol
        since 02/2005 · owns 75% or more
      • L•••••• T••••• J• · Chief Operating Officer & Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      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
      • Accounts · 14 to 5
        Jan 20, 2012 to May 7, 2012
      • Private funds · 14 to 5
        Jan 20, 2012 to May 7, 2012
      • Discretionary RAUM · $489M to $94.5M
        Jan 20, 2012 to May 7, 2012
      • RAUM · $489M to $94.5M
        Jan 20, 2012 to May 7, 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