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Former SEC-registered adviser

H••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 137275SEC 801-65884IAPD
Latest filing Aug 22, 2013
First filing on the tape Mar 20, 2012 · 5 filings
RAUM
$393M
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
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$381M gross assets
History
5 filings and snapshots on the tape
RAUM$552M as of Feb 21, 2013
Mar 20, 2012$955M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 21, 2013
Mar 20, 20120 then
Employees (5.A): 14
Private funds3 as of Feb 21, 2013
Mar 20, 20122 then
RAUM -59% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 22, 2013; 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
$56.2MderivedRAUM 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
-42%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
$381M, 4 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)
  • 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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$381M for 4 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• O••••••••• ••••••• M••••• F••• L•Hedge Fund$344M25Mar 20, 2012
      H••••• E••••• O••••••• M••••• F••• L•Hedge Fund$52.0M35Mar 20, 2012
      H••••• M••••••• F••• L•Hedge Fund$36.7M1Feb 21, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• M••••• M••• · Membercontrol
        since 01/2003 · owns 10% to 25%
      • H•••••• L•••••••• A••• · Membercontrol
        since 01/2003 · owns 50% to 75%
      • A••••• A•••• M••• · Chief Compliance Officer, Cfo
        since 03/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••••• P••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 7
        Feb 21, 2013 to Mar 14, 2013
      • Advisory employees · 7 to 6
        Feb 21, 2013 to Mar 14, 2013
      • Assets in custody · $507M to $381M
        Feb 21, 2013 to Mar 14, 2013
      • Employees · 14 to 10
        Feb 21, 2013 to Mar 14, 2013
      • Private funds · 3 to 2
        Feb 21, 2013 to Mar 14, 2013
      • Discretionary RAUM · $552M to $393M
        Feb 21, 2013 to Mar 14, 2013
      • RAUM · $552M to $393M
        Feb 21, 2013 to Mar 14, 2013
      • Related bank · true to false
        Feb 21, 2013 to Mar 14, 2013
      • Advisory employees · unset to 7.0
        Mar 20, 2012 to Feb 21, 2013
      • Assets in custody · $908M to $507M
        Mar 20, 2012 to Feb 21, 2013
      • Employees · unset to 14.0
        Mar 20, 2012 to Feb 21, 2013
      • Private funds · 2 to 3
        Mar 20, 2012 to Feb 21, 2013
      • Discretionary RAUM · $955M to $552M
        Mar 20, 2012 to Feb 21, 2013
      • RAUM · $955M to $552M
        Mar 20, 2012 to Feb 21, 2013
      Signals
      No event on the tape.
      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