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Former SEC-registered adviser

S•••• C•••••• M••••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 134835SEC 801-64086IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$3.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$491M gross assets
History
15 filings and snapshots on the tape
RAUM$1.2B as of Mar 29, 2019
Mar 30, 2012$320M then
HNW client RAUM$3.2M as of Mar 29, 2019
Mar 28, 2018$2.7M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)13 as of Mar 29, 2019
Mar 28, 201310 then
Private funds2 as of Mar 29, 2019
Mar 30, 20124 then
RAUM -21% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$638,800derivedHNW RAUM over HNW clients
Average account
$77.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-21%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$491M, 4 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)
  • 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$659M57%
  • Investment companies$227M20%
  • Banks and thrifts$162M14%
  • Pension and profit-sharing plans$107M9.2%
  • Charitable organizations$6.1M0.5%
  • High-net-worth individuals$3.2M0.3%
Individual clients
n/areported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$491M for 4 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• A•••• R••• E••••• M••••• F••• L••no longer reportedHedge Fund$302M12Mar 14, 2014
      S•••• A••••• T•••••• M••••• F••• L•••Hedge Fund$255M18Mar 17, 2017
      S•••• N• F••• L•Hedge Fund$236M3Mar 30, 2012
      S•••• T••••••• R••• E••••• M••••• F••• L••no longer reportedHedge Fund$41.1M10Mar 30, 2012
      S•••• M••••• F•••• L•••no longer reportedHedge Fund$19.9M130Mar 30, 2012
      S•••• R••• V•••• F••• L•••no longer reportedHedge Fund$280,0003Mar 31, 2015
      S•••• C•• V• L•••no longer reportedSecuritized Asset Fund$01Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• N•••• P•••••• · Chief Compliance Officer, Chief Legal Officercontrol
        since 03/2015 · owns less than 5%
      • H••••••• J••••• J••• · Ceocontrol
        since 04/2004 · owns less than 5%
      • T••• T•••••• T• L• · Chief Financial Officercontrol
        since 10/2004 · owns less than 5%
      • H••••••• J••••• J••• · Membercontrol
        since 11/2014 · owns 50% to 75% of S•••• I••••••••• G••••• L•
      Entity owners
      • S•••• I••••••••• G••••• L• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • S•••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • St. Louis, MO1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 16 to 15
        Dec 7, 2018 to Mar 29, 2019
      • Advisory employees · 10 to 8
        Dec 7, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 7 to 6
        Dec 7, 2018 to Mar 29, 2019
      • Assets in custody · $993M to $491M
        Dec 7, 2018 to Mar 29, 2019
      • Employees · 16 to 13
        Dec 7, 2018 to Mar 29, 2019
      • Discretionary RAUM · $1.5B to $1.2B
        Dec 7, 2018 to Mar 29, 2019
      • HNW RAUM · $2.7M to $3.2M
        Dec 7, 2018 to Mar 29, 2019
      • Pension RAUM · unset to 107333000.0
        Dec 7, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.1B to $659M
        Dec 7, 2018 to Mar 29, 2019
      • RAUM · $1.5B to $1.2B
        Dec 7, 2018 to Mar 29, 2019
      • Accounts · 11 to 16
        Jun 20, 2017 to Mar 28, 2018
      • Advisory employees · 8 to 10
        Jun 20, 2017 to Mar 28, 2018
      • HNW clients · unset to 5.0
        Jun 20, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 7.0
        Jun 20, 2017 to Mar 28, 2018
      • Assets in custody · $731M to $993M
        Jun 20, 2017 to Mar 28, 2018
      • Employees · 13 to 16
        Jun 20, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Jun 20, 2017 to Mar 28, 2018
      • Discretionary RAUM · $1.3B to $1.5B
        Jun 20, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 2699000.0
        Jun 20, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 1098430000.0
        Jun 20, 2017 to Mar 28, 2018
      • RAUM · $1.3B to $1.5B
        Jun 20, 2017 to Mar 28, 2018
      • Advisory activities · 3 to 4
        Mar 17, 2017 to Jun 20, 2017
      • Accounts · 10 to 11
        Mar 29, 2016 to Mar 17, 2017
      • Assets in custody · $1.3B to $731M
        Mar 29, 2016 to Mar 17, 2017
      • Private funds · 3 to 2
        Mar 29, 2016 to Mar 17, 2017
      • Discretionary RAUM · $2.1B to $1.3B
        Mar 29, 2016 to Mar 17, 2017
      • RAUM · $2.1B to $1.3B
        Mar 29, 2016 to Mar 17, 2017
      • Accounts · 6 to 10
        Dec 21, 2015 to Mar 29, 2016
      • Advisory employees · 7 to 8
        Dec 21, 2015 to Mar 29, 2016
      • Assets in custody · $1.1B to $1.3B
        Dec 21, 2015 to Mar 29, 2016
      • Employees · 15 to 13
        Dec 21, 2015 to Mar 29, 2016
      • Discretionary RAUM · $1.7B to $2.1B
        Dec 21, 2015 to Mar 29, 2016
      • RAUM · $1.7B to $2.1B
        Dec 21, 2015 to Mar 29, 2016
      • Accounts · 9 to 6
        Nov 14, 2014 to Mar 31, 2015
      • Advisory employees · 8 to 7
        Nov 14, 2014 to Mar 31, 2015
      • Advisory activities · 1 to 3
        Nov 14, 2014 to Mar 31, 2015
      • Assets in custody · $581M to $1.1B
        Nov 14, 2014 to Mar 31, 2015
      • Private funds · 4 to 3
        Nov 14, 2014 to Mar 31, 2015
      • Discretionary RAUM · $829M to $1.7B
        Nov 14, 2014 to Mar 31, 2015
      • RAUM · $829M to $1.7B
        Nov 14, 2014 to Mar 31, 2015
      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