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A•••••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviser3 private funds· Seattle, Washington

Former SEC-registered adviser, based in Seattle, Washington, reporting $185M of regulatory assets.

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

As of 2012-09-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $185M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2012-09-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 4 Form ADV filings for this adviser, the latest 14.2 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 134748 · SEC 801-70496 · 4 filingsShow

CRD 134748SEC 801-70496First filing on the tape Mar 30, 2012, latest Sep 12, 2012IAPD

RAUM

$185M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

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

$185M gross assets

History

4 filings and snapshots on the tape

RAUM$185M as of Sep 12, 2012

Mar 30, 2012$202M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Sep 12, 2012

Mar 30, 20120 then

Employees (5.A): no history

Private funds3 as of Sep 12, 2012

Mar 30, 20123 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Sep 12, 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: $61.6MderivedRAUM 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 pooled vehiclesreportedItem 5.G
Custody: $185M, 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

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)
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)
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: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $185M 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 departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A•••••••• Q• L•	Hedge Fund	$102M	35	Mar 30, 2012
A•••••••• L•	Hedge Fund	$62.6M	10	Mar 30, 2012
A•••••••• I••••••••• L•	Hedge Fund	$20.0M	15	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

A••••••• H•••••• C•••••• · Shareholder/Directorcontrol
since 09/1996 · owns 50% to 75%
B••••••• G•••••• A••••• · Shareholder/Directorcontrol
since 09/1996 · owns 50% to 75%
S•••• L••••• N•• · Chief Financial Officercontrol
since 09/2004 · owns less than 5%

Related persons

Schedule D 7.A

A•••••••• V••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $191M to $185M
Mar 30, 2012 to Sep 12, 2012
Discretionary RAUM · $202M to $185M
Mar 30, 2012 to Sep 12, 2012
RAUM · $202M to $185M
Mar 30, 2012 to Sep 12, 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