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Former SEC-registered adviser

A•••• C••••••

Former SEC-registered adviserNew York, New YorkCRD 136167SEC 801-64730IAPD
Legal name A•••• C•••••• L•
Latest filing Feb 24, 2021
First filing on the tape Mar 30, 2012 · 25 filings
RAUM
$1.5B
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
21
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$1.6B gross assets
History
25 filings and snapshots on the tape
RAUM$1.5B as of Mar 26, 2020
Mar 30, 2012$1.9B then
HNW client RAUM$0 as of Mar 26, 2020
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 30, 20120 then
Employees (5.A)21 as of Mar 26, 2020
Mar 27, 201327 then
Private funds7 as of Mar 26, 2020
Mar 30, 201211 then
RAUM -7.3% over the last fiscal year-2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 24, 2021; 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
$153MderivedRAUM 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
-7.3%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.4B, 7 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 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
  • Pooled investment vehicles$1.5B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 7 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
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• G••••• O••••••••• M••••• F••• L•••no longer reportedHedge Fund$469M19Mar 30, 2012
      A•••• S••••••• E••••••• E••••• F•••no longer reportedOther Private Fund$416M13Feb 7, 2014
      P• M•••••• F•••• S•• • S••••••••• P•••••••• 2•no longer reportedHedge Fund$241M25Mar 30, 2012
      A•••• E••••••• L••• O••••••••• F•••Hedge Fund$132M9Feb 12, 2017
      A•••• I••••• E•••••no longer reportedHedge Fund$93.1M10Mar 30, 2012
      P• M•••••• F•••• S•• • S••••••••• P•••••••• 2•no longer reportedHedge Fund$56.6M18Jan 17, 2013
      A•••• E••••••no longer reportedPrivate Equity Fund$53.8M10Mar 30, 2012
      A•••• L•••• A•••••• L•• • S••••• T••••Other Private Fund$26.8M10Mar 30, 2012
      S•••••••• I••••••••• V• L••no longer reportedPrivate Equity Fund$25.7M9Mar 30, 2012
      P••••••••• • A•••• E•••• E•••••no longer reportedHedge Fund$25.4M16Aug 20, 2018
      S•••••••• I••••••••• X• L••no longer reportedOther Private Fund$19.8M3Feb 17, 2015
      S•••••••• I••••••••• V• L••no longer reportedPrivate Equity Fund$8.3M5Mar 30, 2012
      A•••• L•••• A•••••• L•• • S••••• O••no longer reportedHedge Fund$6.9M2Mar 30, 2012
      S•••••••• I••••••••• V•• L••no longer reportedPrivate Equity Fund$5.2M16Mar 30, 2012
      A•••• S••••• O••••••••• F•••no longer reportedOther Private Fund$4.7M0Feb 17, 2015
      S•• L•••••• H••••••• L••Other Private Fund$2.4M8Feb 26, 2013
      S•••••••• I••••••••• V••• L••no longer reportedPrivate Equity Fund$2.0M8Mar 30, 2012
      A•••• L•••• A•••••• L•• • S••••• T••no longer reportedPrivate Equity Fund$1.8M10Mar 30, 2012
      V••••••• E••••• L•no longer reportedOther Private Fund$00Feb 25, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• L•••• N•• · Chief Compliance Officercontrol
        since 09/2019 · owns less than 5%
      • B••••• C••••••• W•••••• · Executive Officercontrol
        since 11/2005 · owns less than 5%
      • F••••••• O••••••• M•••• · Executive Officercontrol
        since 01/2017 · owns less than 5%
      • O••••••• D••••••• N•• · Group General Counselcontrol
        since 09/2019 · owns less than 5%
      • O••••••••• J•••••• M•••• · Chief Executive Officercontrol
        since 05/2005 · owns 75% or more
      • O••••••••• J•••••• M•••• · Managing Membercontrol
        since 05/2005 · owns 75% or more of A•••• C•••••• G• L••
      Entity owners
      • A•••• C•••••• G• L•• · General Partner
        direct · owns less than 5%
      • A•••• C•••••• M••••••••• L• · Limited Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A•••• C•••••• A•••••• C•••
        investment advisern
      • A•••• C•••••• C••••• G• I•
        pooled vehicle sponsorn
      • A•••• C•••••• E••••••••• S•• G• S•••••••
        pooled vehicle sponsorn
      • A•••• C•••••• I••••• S•• S•••••
        investment advisern
      • A•••• C•••••• L•• G• I• S•••
        pooled vehicle sponsorn
      • A•••• C•••••• M••••••••• L•
        banky
      • A•••• C•••••• U• G• I• L••
        pooled vehicle sponsorn
      • A•••• C•••••• U• G• L••
        pooled vehicle sponsorn
      • S•• L•••••• G• 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 · $1.5B to $1.4B
        Nov 8, 2019 to Mar 26, 2020
      • Private funds · 6 to 7
        Nov 8, 2019 to Mar 26, 2020
      • Discretionary RAUM · $1.6B to $1.5B
        Nov 8, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $1.6B to $1.5B
        Nov 8, 2019 to Mar 26, 2020
      • RAUM · $1.6B to $1.5B
        Nov 8, 2019 to Mar 26, 2020
      • Accounts · 13 to 10
        Oct 5, 2018 to Mar 28, 2019
      • Advisory employees · 14 to 9
        Oct 5, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 13 to 10
        Oct 5, 2018 to Mar 28, 2019
      • Assets in custody · $1.4B to $1.5B
        Oct 5, 2018 to Mar 28, 2019
      • Employees · 28 to 21
        Oct 5, 2018 to Mar 28, 2019
      • Private funds · 9 to 6
        Oct 5, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.6B to $1.6B
        Oct 5, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $1.6B to $1.6B
        Oct 5, 2018 to Mar 28, 2019
      • RAUM · $1.6B to $1.6B
        Oct 5, 2018 to Mar 28, 2019
      • Business name · A•••• C•••••• I••••••••• M••••••••• to A•••• C••••••
        Mar 29, 2018 to Aug 20, 2018
      • Private funds · 8 to 9
        Mar 29, 2018 to Aug 20, 2018
      • Accounts · 12 to 13
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 13 to 14
        Mar 30, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 13.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $1.5B to $1.4B
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 26 to 28
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Private funds · 7 to 8
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.6B to $1.6B
        Mar 30, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1566518074.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $1.6B to $1.6B
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 14 to 13
        Feb 12, 2017 to Mar 30, 2017
      • Assets in custody · $1.6B to $1.5B
        Feb 12, 2017 to Mar 30, 2017
      • Employees · 25 to 26
        Feb 12, 2017 to Mar 30, 2017
      • Private funds · 9 to 7
        Feb 12, 2017 to Mar 30, 2017
      • Discretionary RAUM · $1.9B to $1.6B
        Feb 12, 2017 to Mar 30, 2017
      • RAUM · $1.9B to $1.6B
        Feb 12, 2017 to Mar 30, 2017
      Signals
      4 dated events
      • Ramon Jose De La Rosa (Executive Officer) no longer on Schedule A of A•••• C•••••• (listed 2020-10-30, absent 2021-02-01)
        Feb 1, 2021 · Control person left · inference
      • Scott Evan Jacobs (Executive Officer/ Chief Compliance Officer / Group General Counsel) no longer on Schedule A of A•••• C•••••• (listed 2019-03-28, absent 2019-11-08)
        Nov 8, 2019 · Control person left · inference
      • Nmn Luca Artesani (Chief Compliance Officer) appeared on Schedule A of A•••• C••••••
        Nov 8, 2019 · Control person joined · fact
      • Nmn Dominic O'Brien (Group General Counsel) appeared on Schedule A of A•••• C••••••
        Nov 8, 2019 · Control person joined · fact
      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