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Former SEC-registered adviser

J• C•••••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 137110SEC 801-65467IAPD
Latest filing Mar 30, 2020
First filing on the tape Dec 7, 2011 · 16 filings
RAUM
$2.3B
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
20
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$1.6B gross assets
History
16 filings and snapshots on the tape
RAUM$2.3B as of Mar 30, 2020
Mar 30, 2012$917M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)20 as of Mar 30, 2020
Mar 26, 201319 then
Private funds1 as of Mar 30, 2020
Mar 30, 20121 then
RAUM +18% over the last fiscal year+54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$587MderivedRAUM 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
+18%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 pooled vehiclesreportedItem 5.G
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)
  • 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$2.3B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• V••••••••• M••••• F••• L•••Hedge Fund$1.6B218Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• M•••••• A•• · Chief Compliance Officercontrol
        since 10/2010 · owns less than 5%
      • G••••••••• Z•••••• •••• · Chief Financial Officercontrol
        since 01/2011 · owns less than 5%
      • R•••••• J•••• D•••• · Chief Executive Officer/ Sole Membercontrol
        since 08/2001 · owns 75% or more
      • R•••••• S••••••• E••••• · Chief Operating Officercontrol
        since 08/2001 · owns less than 5%
      Related persons
      Schedule D 7.A
      • T•••• C•••••• M••••••••• L••••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 8
        Mar 27, 2019 to Mar 30, 2020
      • Employees · 19 to 20
        Mar 27, 2019 to Mar 30, 2020
      • Discretionary RAUM · $2.0B to $2.3B
        Mar 27, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.0B to $2.3B
        Mar 27, 2019 to Mar 30, 2020
      • RAUM · $2.0B to $2.3B
        Mar 27, 2019 to Mar 30, 2020
      • Employees · 18 to 19
        Feb 8, 2019 to Mar 27, 2019
      • Discretionary RAUM · $1.3B to $2.0B
        Feb 8, 2019 to Mar 27, 2019
      • Pooled vehicle RAUM · $1.3B to $2.0B
        Feb 8, 2019 to Mar 27, 2019
      • RAUM · $1.3B to $2.0B
        Feb 8, 2019 to Mar 27, 2019
      • Advisory employees · 6 to 7
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 16 to 18
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $647M to $1.3B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1264825980.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $647M to $1.3B
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 5 to 4
        Mar 29, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Mar 29, 2016 to Mar 31, 2017
      • Assets in custody · $2.6M to $0
        Mar 29, 2016 to Mar 31, 2017
      • Custody of client assets · true to false
        Mar 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $475M to $647M
        Mar 29, 2016 to Mar 31, 2017
      • RAUM · $475M to $647M
        Mar 29, 2016 to Mar 31, 2017
      • Accounts · 4 to 5
        Feb 29, 2016 to Mar 29, 2016
      • Advisory employees · 8 to 6
        Feb 29, 2016 to Mar 29, 2016
      • Assets in custody · $0 to $2.6M
        Feb 29, 2016 to Mar 29, 2016
      • Employees · 18 to 16
        Feb 29, 2016 to Mar 29, 2016
      • Discretionary RAUM · $573M to $475M
        Feb 29, 2016 to Mar 29, 2016
      • RAUM · $573M to $475M
        Feb 29, 2016 to Mar 29, 2016
      • Accounts · 6 to 4
        Feb 18, 2015 to Mar 26, 2015
      • Employees · 19 to 18
        Feb 18, 2015 to Mar 26, 2015
      • Discretionary RAUM · $833M to $573M
        Feb 18, 2015 to Mar 26, 2015
      • RAUM · $833M to $573M
        Feb 18, 2015 to Mar 26, 2015
      • Discretionary RAUM · $1.1B to $833M
        Mar 26, 2013 to Mar 24, 2014
      • RAUM · $1.1B to $833M
        Mar 26, 2013 to Mar 24, 2014
      • Advisory employees · unset to 8.0
        Mar 30, 2012 to Mar 26, 2013
      • Assets in custody · $185M to $0
        Mar 30, 2012 to Mar 26, 2013
      • Employees · unset to 19.0
        Mar 30, 2012 to Mar 26, 2013
      • Discretionary RAUM · $917M to $1.1B
        Mar 30, 2012 to Mar 26, 2013
      • RAUM · $917M to $1.1B
        Mar 30, 2012 to Mar 26, 2013
      • Accounts · 10 to 6
        Dec 7, 2011 to Mar 30, 2012
      Signals
      2 dated events
      • J• C•••••• M••••••••• L•• reported RAUM $2.0B, up 58% from $1.3B (2019-02-08 to 2019-03-27)
        Mar 27, 2019 · RAUM change · derived
      • J• C•••••• M••••••••• L•• reported RAUM $1.3B, up 96% from $646.6M (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · 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