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Former SEC-registered adviser

L•••••• A•••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 136245SEC 801-64518IAPD
Latest filing Mar 29, 2023
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$205M
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
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$78.2M gross assets
History
18 filings and snapshots on the tape
RAUM$205M as of Mar 29, 2023
Mar 30, 2012$702M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 30, 20120 then
Employees (5.A)10 as of Mar 29, 2023
Apr 1, 201312 then
Private funds5 as of Mar 29, 2023
Mar 30, 20128 then
RAUM -22% over the last fiscal year-3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; 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
$25.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
56%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
-22%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 vehiclesreportedItem 5.G
Custody
$89.1M, 6 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$115M56%
  • Pooled investment vehicles$89.1M44%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$89.1M for 6 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
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• P•••••••• L•••Hedge Fund$39.3M61Mar 30, 2012
      E••••••• P•••••••• L•••Hedge Fund$17.0M17Mar 30, 2012
      T•••• P••••••• I•• L•••no longer reportedHedge Fund$15.9M11Mar 30, 2012
      T•••• T••••••••• P•••••••• L•••no longer reportedHedge Fund$15.2M25Mar 30, 2012
      M••••••• P•••••••• L•••Hedge Fund$12.4M15Mar 30, 2012
      L•• I••••• P•••••••• L•••no longer reportedHedge Fund$9.2M3Mar 27, 2015
      D••••••• E••••• P•••••••• L•••Hedge Fund$7.9M14Mar 30, 2012
      E••••••• T••••••••• P•••••••• L•••no longer reportedHedge Fund$7.3M6Mar 30, 2012
      T• B•••••• P•••••••• L•••Hedge Fund$1.6M1Mar 27, 2015
      E••••••• O••••••• F•••• L••no longer reportedOther Private Fund$1.2M2Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• J••••• F•••••• · Chief Operating Officer And Chief Compliance Officercontrol
        since 07/2006 · owns less than 5%
      • W•••••• S•••••• M••• · Managing Membercontrol
        since 06/2005 · owns 75% or more
      • P••••••••• A••••••••• · Vice President Of Adminstration/Client Relations
        since 01/2011 · 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
      • Advisory employees · 4 to 5
        Mar 30, 2022 to Mar 29, 2023
      • Assets in custody · $115M to $89.1M
        Mar 30, 2022 to Mar 29, 2023
      • Employees · 9 to 10
        Mar 30, 2022 to Mar 29, 2023
      • Discretionary RAUM · $262M to $205M
        Mar 30, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $115M to $89.1M
        Mar 30, 2022 to Mar 29, 2023
      • RAUM · $262M to $205M
        Mar 30, 2022 to Mar 29, 2023
      • Advisory employees · 6 to 4
        Nov 2, 2021 to Mar 29, 2022
      • Assets in custody · $131M to $115M
        Nov 2, 2021 to Mar 29, 2022
      • Employees · 11 to 9
        Nov 2, 2021 to Mar 29, 2022
      • Discretionary RAUM · $278M to $262M
        Nov 2, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $131M to $115M
        Nov 2, 2021 to Mar 29, 2022
      • RAUM · $278M to $262M
        Nov 2, 2021 to Mar 29, 2022
      • Private funds · 6 to 5
        Mar 31, 2021 to Nov 2, 2021
      • Accounts · 13 to 8
        Jun 26, 2020 to Mar 30, 2021
      • Advisory employees · 7 to 6
        Jun 26, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 9 to 6
        Jun 26, 2020 to Mar 30, 2021
      • Assets in custody · $127M to $131M
        Jun 26, 2020 to Mar 30, 2021
      • Employees · 12 to 11
        Jun 26, 2020 to Mar 30, 2021
      • Private funds · 9 to 6
        Jun 26, 2020 to Mar 30, 2021
      • Discretionary RAUM · $227M to $278M
        Jun 26, 2020 to Mar 30, 2021
      • Pension RAUM · 3417781.0 to unset
        Jun 26, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $119M to $131M
        Jun 26, 2020 to Mar 30, 2021
      • RAUM · $227M to $278M
        Jun 26, 2020 to Mar 30, 2021
      • Accounts · 17 to 13
        Mar 26, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 11 to 9
        Mar 26, 2019 to Mar 30, 2020
      • Assets in custody · $133M to $127M
        Mar 26, 2019 to Mar 30, 2020
      • Discretionary RAUM · $296M to $227M
        Mar 26, 2019 to Mar 30, 2020
      • Pension RAUM · $32.8M to $3.4M
        Mar 26, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $137M to $119M
        Mar 26, 2019 to Mar 30, 2020
      • RAUM · $296M to $227M
        Mar 26, 2019 to Mar 30, 2020
      • Accounts · 19 to 17
        Mar 28, 2018 to Mar 26, 2019
      • Advisory employees · 6 to 7
        Mar 28, 2018 to Mar 26, 2019
      • Assets in custody · $151M to $133M
        Mar 28, 2018 to Mar 26, 2019
      • Discretionary RAUM · $518M to $296M
        Mar 28, 2018 to Mar 26, 2019
      • Pension RAUM · $66.2M to $32.8M
        Mar 28, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $158M to $137M
        Mar 28, 2018 to Mar 26, 2019
      • RAUM · $518M to $296M
        Mar 28, 2018 to Mar 26, 2019
      • Accounts · 22 to 19
        Mar 29, 2017 to Mar 28, 2018
      • Advisory employees · 4 to 6
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 11.0
        Mar 29, 2017 to Mar 28, 2018
      Signals
      1 dated events
      • ••• Locked
        Mar 26, 2019 · RAUM change · derived
      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