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Former SEC-registered adviser

T•• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 137257SEC 801-79069IAPD
Latest filing Mar 30, 2017
First filing on the tape Feb 17, 2012 · 6 filings
RAUM
$200M
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$194M gross assets
History
6 filings and snapshots on the tape
RAUM$200M as of Mar 30, 2017
Mar 30, 2015$263M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 30, 20150 then
Employees (5.A)6 as of Mar 30, 2017
Mar 30, 20158 then
Private funds1 as of Mar 30, 2017
Mar 30, 20151 then
RAUM -26% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$50.1MderivedRAUM 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
-26%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
Custody
$194M, 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
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
$194M 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• G••••• E••••• M••••• F•••• L•Hedge Fund$194M24Feb 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• K••••••• L•••• · Chief Financial Officercontrol
        since 01/2015 · owns less than 5%
      • S•••••• H• E••• · Managing Membercontrol
        since 02/2001 · owns 75% or more
      • S••••• E••••• P•••• · Managing Director/Chief Compliance Officercontrol
        since 02/2001 · owns less than 5%
      Related persons
      Schedule D 7.A
      • T•• C•••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $241M to $194M
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 8 to 6
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $270M to $200M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $270M to $200M
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $232M to $241M
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $263M to $270M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $263M to $270M
        Mar 30, 2015 to Mar 30, 2016
      • Assets in custody · unset to 232277744.0
        Mar 26, 2014 to Mar 30, 2015
      • Custody of client assets · false to true
        Mar 26, 2014 to Mar 30, 2015
      • Discretionary RAUM · $341M to $263M
        Mar 26, 2014 to Mar 30, 2015
      • RAUM · $341M to $263M
        Mar 26, 2014 to Mar 30, 2015
      • Accounts · 3 to 4
        Jan 8, 2014 to Mar 26, 2014
      • Employees · 7 to 8
        Jan 8, 2014 to Mar 26, 2014
      • Private funds · 2 to 1
        Jan 8, 2014 to Mar 26, 2014
      • Discretionary RAUM · $301M to $341M
        Jan 8, 2014 to Mar 26, 2014
      • RAUM · $301M to $341M
        Jan 8, 2014 to Mar 26, 2014
      • Accounts · 2 to 3
        Feb 17, 2012 to Jan 8, 2014
      • Advisory employees · unset to 3.0
        Feb 17, 2012 to Jan 8, 2014
      • BD registered reps · unset to 0.0
        Feb 17, 2012 to Jan 8, 2014
      • Assets in custody · 253292901.0 to unset
        Feb 17, 2012 to Jan 8, 2014
      • Custody of client assets · true to false
        Feb 17, 2012 to Jan 8, 2014
      • Employees · unset to 7.0
        Feb 17, 2012 to Jan 8, 2014
      • State-registered IARs · unset to 0.0
        Feb 17, 2012 to Jan 8, 2014
      • Private funds · 1 to 2
        Feb 17, 2012 to Jan 8, 2014
      • Discretionary RAUM · $253M to $301M
        Feb 17, 2012 to Jan 8, 2014
      • RAUM · $253M to $301M
        Feb 17, 2012 to Jan 8, 2014
      • Related adviser · true to false
        Feb 17, 2012 to Jan 8, 2014
      Signals
      1 dated events
      • T•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 8, 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