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P••••••• G•••• A•••• M••••••••• L•••

Former SEC-registered adviserFormer SEC adviser4 private funds· Purchase, New York

Former SEC-registered adviser, based in Purchase, New York, reporting $1.6B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$1.6B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+59%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 137454 · SEC 801-65849 · 6 filingsShow
CRD 137454SEC 801-65849First filing on the tape Mar 27, 2012, latest Jan 17, 2014IAPD
RAUM
$1.6B
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
18
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$3.1B gross assets
History
6 filings and snapshots on the tape
RAUM$1.6B as of Mar 25, 2013
Mar 27, 2012$982M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 18
Private funds4 as of Mar 25, 2013
Mar 27, 20124 then
RAUM +59% over the last fiscal year
Practice profile
derived from the filing of Jan 17, 2014; 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
$389MderivedRAUM 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
+59%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.5B, 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)
  • 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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.5B 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
      P••••••• G•••• C••••••••• C•••••• M••••• F••• L•••Hedge Fund$1.6B30Mar 27, 2012
      P••••••• G•••• C••••••••• C•••••• U••• T••••Hedge Fund$1.4B14Mar 27, 2012
      P••••••• G•••• C••••••••• C•••••• P•••••••• L•••Hedge Fund$106M12Mar 27, 2012
      P••••••• G•••• C••••••••• C•••••• O••••••• F••• L•••Hedge Fund$60.1M4Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • N•••• M•••••••• · Managing Principal/Chief Compliance Officercontrol
        since 01/2010 · owns less than 5%
      • T••••••• B••••• E••• · Managing Principalcontrol
        since 01/2010 · owns less than 5%
      • N•••• M•••••••• · Managing Membercontrol
        since 01/2010 · owns F of P•••• L•••••
      • T••••••• B••••• E••• · Managing Membercontrol
        since 01/2010 · owns F of P•••• L•••••
      • H••••• C••••• · Limited Partner
        since 01/2010 · owns 25% to 50% of P••••••• G•••• P•••••••• L•••
      • N•••• M•••••••• · Limited Partner
        since 01/2010 · owns 25% to 50% of P••••••• G•••• H•••••••• L•••
      • S••••••• M••••• S••••• · Limited Partner
        since 12/2012 · owns 25% to 50% of P••••••• G•••• P•••••••• L•••
      • T••••••• B••••• E••• · Limited Partner
        since 01/2010 · owns 25% to 50% of P••••••• G•••• H•••••••• L•••
      Entity owners
      • P••••••• G•••• H•••••••• L••• · Limited Partner
        direct · owns 75% or more
      • P••••••• G•••• P•••••••• L••• · General Partner
        direct · owns 25% to 50%
      • P•••• L••••• · General Partner
        indirect · owns F of P••••••• G•••• P•••••••• L•••
      • P•••• L••••• · General Partner
        indirect · owns F of P••••••• G•••• H•••••••• L•••
      Related persons
      Schedule D 7.A
      • P••••••• G•••• A•••• M••••••••• J•••• L•••
        investment advisern
      • P••••••• G•••• G•• L•••••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 9.0
        Mar 27, 2012 to Mar 25, 2013
      • Assets in custody · unset to 1451186648.0
        Mar 27, 2012 to Mar 25, 2013
      • Custody of client assets · false to true
        Mar 27, 2012 to Mar 25, 2013
      • Employees · unset to 18.0
        Mar 27, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Mar 27, 2012 to Mar 25, 2013
      • Discretionary RAUM · $982M to $1.6B
        Mar 27, 2012 to Mar 25, 2013
      • RAUM · $982M to $1.6B
        Mar 27, 2012 to Mar 25, 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