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T•••••• M••••••••• C••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· Delray Beach, Florida

Asset manager (funds and pooled vehicles), based in Delray Beach, Florida, reporting $156M of regulatory assets.

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

Regulatory AUM
$156M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
Not established
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 137537 · SEC 801-136381 · 7 filingsShow
CRD 137537SEC 801-136381First filing on the tape Mar 22, 2012, latest Apr 28, 2026SEC status approved since May 28, 2026IAPD
RAUM
$156M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$156M as of Apr 28, 2026
Mar 22, 2012$275M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 19, 20130 then
Employees (5.A)5 as of Apr 28, 2026
Mar 19, 20135 then
Private funds2 as of Apr 28, 2026
Mar 22, 20125 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 28, 2026; 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
$78.2MderivedRAUM 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
unknownderivedbetween 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
$156M, 2 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$156M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$156M for 2 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••• P•••••••• L•••Hedge Fund$113M18Mar 22, 2012
      T•••••• O••••••• F••• L••••••no longer reportedHedge Fund$93.9M21Mar 22, 2012
      T•••••• S•••• C•• O••••••••• F•••• L•••Hedge Fund$43.4M10Mar 22, 2012
      T•••••• P••••••• I•• L•••no longer reportedHedge Fund$7.3M21Mar 22, 2012
      T•••••• R••••••• O••••••••• F•••• L•••no longer reportedHedge Fund$2.4M14Mar 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • U••••• A•••• N•• · President, Portfolio Manager And Managing Membercontrol
        since 01/1994 · owns 75% or more
      • S••••••• J••••• L•• · Chief Financial Officer & Chief Compliance Officer
        since 07/2012 · 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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • custody status changedChange between filings · filing Apr 28, 2026
        custody of client assets (Item 9.A): no on the filing of 2015-03-13, yes on the filing of 2026-04-28
        peers: asset managers, $100M to $500M (1,568)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 13, 2015 to Apr 28, 2026
      • Pooled vehicle clients · unset to 2.0
        Mar 13, 2015 to Apr 28, 2026
      • Assets in custody · unset to 156327954.0
        Mar 13, 2015 to Apr 28, 2026
      • Custody of client assets · false to true
        Mar 13, 2015 to Apr 28, 2026
      • Financial planning clients · unset to 0
        Mar 13, 2015 to Apr 28, 2026
      • HQ city · NEW YORK to DELRAY BEACH
        Mar 13, 2015 to Apr 28, 2026
      • HQ state · NY to FL
        Mar 13, 2015 to Apr 28, 2026
      • Other offices · unset to 0.0
        Mar 13, 2015 to Apr 28, 2026
      • Discretionary RAUM · $98.1M to $156M
        Mar 13, 2015 to Apr 28, 2026
      • Pooled vehicle RAUM · unset to 156327954.0
        Mar 13, 2015 to Apr 28, 2026
      • RAUM · $98.1M to $156M
        Mar 13, 2015 to Apr 28, 2026
      • Discretionary RAUM · $124M to $98.1M
        Mar 18, 2014 to Mar 13, 2015
      • RAUM · $124M to $98.1M
        Mar 18, 2014 to Mar 13, 2015
      • Discretionary RAUM · $92.0M to $124M
        Mar 19, 2013 to Mar 18, 2014
      • RAUM · $92.0M to $124M
        Mar 19, 2013 to Mar 18, 2014
      • Accounts · 6 to 2
        Jul 9, 2012 to Mar 19, 2013
      • Advisory employees · unset to 3.0
        Jul 9, 2012 to Mar 19, 2013
      • Advisory activities · 3 to 1
        Jul 9, 2012 to Mar 19, 2013
      • Assets in custody · 226994000.0 to unset
        Jul 9, 2012 to Mar 19, 2013
      • Custody of client assets · true to false
        Jul 9, 2012 to Mar 19, 2013
      • Employees · unset to 5.0
        Jul 9, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 0.0
        Jul 9, 2012 to Mar 19, 2013
      • Private funds · 5 to 2
        Jul 9, 2012 to Mar 19, 2013
      • Discretionary RAUM · $275M to $92.0M
        Jul 9, 2012 to Mar 19, 2013
      • RAUM · $275M to $92.0M
        Jul 9, 2012 to Mar 19, 2013
      • Related adviser · true to false
        Jul 9, 2012 to Mar 19, 2013
      Signals
      2 dated events
      • ••• Locked
        Apr 28, 2026 · ria registration change · fact
      • ••• Locked
        Mar 2, 2016 · ria registration change · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Apr 28, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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