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Former SEC-registered adviser

C••••••• C•••••• M••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 136241SEC 801-110237IAPD
Latest filing Mar 23, 2020
First filing on the tape Mar 31, 2014 · 7 filings
RAUM
$34.3M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$34.3M gross assets
History
7 filings and snapshots on the tape
RAUM$34.3M as of Mar 23, 2020
Mar 2, 2018$157M then
HNW client RAUM$48.1M as of Mar 28, 2019
Mar 2, 2018$70.5M then
State-registered IARs (5.B.3)0 as of Mar 23, 2020
Mar 2, 20180 then
Employees (5.A)3 as of Mar 23, 2020
Mar 2, 20183 then
Private funds3 as of Mar 23, 2020
Mar 2, 20183 then
RAUM -68% over the last fiscal yearIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 23, 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
$11.4MderivedRAUM 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
-68%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$34.3M, 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$34.3M100%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$34.3M 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• C•••••• P•••••••• L•••Hedge Fund$14.0M25Mar 30, 2012
      C••••••• C•••••• Q• P•••••••• L•••Hedge Fund$10.5M4Mar 30, 2012
      C••••••• C•••••• O••••••• Q• F•••• L•••Hedge Fund$6.5M3Mar 30, 2012
      C••••••• C•••••• O••••••• F•••• L••no longer reportedHedge Fund$385,00012Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• B••••••• J••• · Member/Chief Compliance Officercontrol
        since 01/2001 · owns less than 5%
      • O•••••• M••••••• D•••• · Managing Membercontrol
        since 02/1997 · 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
      • HNW RAUM · 48144059.0 to unset
        Mar 28, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $59.2M to $34.3M
        Mar 28, 2019 to Mar 23, 2020
      • RAUM · $107M to $34.3M
        Mar 28, 2019 to Mar 23, 2020
      • Accounts · 4 to 3
        Mar 28, 2019 to Mar 23, 2020
      • HNW clients · 1.0 to unset
        Mar 28, 2019 to Mar 23, 2020
      • Assets in custody · $59.2M to $34.3M
        Mar 28, 2019 to Mar 23, 2020
      • Other offices · 1 to 0
        Mar 28, 2019 to Mar 23, 2020
      • Discretionary RAUM · $107M to $34.3M
        Mar 28, 2019 to Mar 23, 2020
      • Assets in custody · $86.4M to $59.2M
        Mar 2, 2018 to Mar 28, 2019
      • Discretionary RAUM · $157M to $107M
        Mar 2, 2018 to Mar 28, 2019
      • HNW RAUM · $70.5M to $48.1M
        Mar 2, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $86.4M to $59.2M
        Mar 2, 2018 to Mar 28, 2019
      • RAUM · $157M to $107M
        Mar 2, 2018 to Mar 28, 2019
      • Accounts · 3 to 4
        Mar 28, 2017 to Mar 2, 2018
      • Advisory activities · 1 to 2
        Mar 28, 2017 to Mar 2, 2018
      • Charity clients · unset to 0.0
        Mar 28, 2017 to Mar 2, 2018
      • Corporate clients · unset to 0.0
        Mar 28, 2017 to Mar 2, 2018
      • HNW clients · unset to 1.0
        Mar 28, 2017 to Mar 2, 2018
      • Individual clients · unset to 0.0
        Mar 28, 2017 to Mar 2, 2018
      • Pension plan clients · unset to 0.0
        Mar 28, 2017 to Mar 2, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 28, 2017 to Mar 2, 2018
      • Assets in custody · $70.4M to $86.4M
        Mar 28, 2017 to Mar 2, 2018
      • Other offices · unset to 1.0
        Mar 28, 2017 to Mar 2, 2018
      • Discretionary RAUM · $70.4M to $157M
        Mar 28, 2017 to Mar 2, 2018
      • HNW RAUM · unset to 70454798.0
        Mar 28, 2017 to Mar 2, 2018
      • Pooled vehicle RAUM · unset to 86432233.0
        Mar 28, 2017 to Mar 2, 2018
      • RAUM · $70.4M to $157M
        Mar 28, 2017 to Mar 2, 2018
      • Private funds · 6 to 3
        Mar 20, 2017 to Mar 28, 2017
      • Accounts · 4 to 3
        May 2, 2014 to Mar 20, 2017
      • Assets in custody · $120M to $70.4M
        May 2, 2014 to Mar 20, 2017
      • Employees · 4 to 3
        May 2, 2014 to Mar 20, 2017
      • Financial planning clients · 0 to unset
        May 2, 2014 to Mar 20, 2017
      • Private funds · 4 to 6
        May 2, 2014 to Mar 20, 2017
      • Discretionary RAUM · $153M to $70.4M
        May 2, 2014 to Mar 20, 2017
      • RAUM · $153M to $70.4M
        May 2, 2014 to Mar 20, 2017
      • Assets in custody · $116M to $120M
        Mar 31, 2014 to May 2, 2014
      • Private funds · 8 to 4
        Mar 31, 2014 to May 2, 2014
      Signals
      1 dated events
      • C••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 31, 2014 · First SEC registration · 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