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Former SEC-registered adviser

L••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 138014SEC 801-65157IAPD
Latest filing Aug 9, 2013
First filing on the tape Feb 15, 2012 · 3 filings
RAUM
$26.4M
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$18.3M gross assets
History
3 filings and snapshots on the tape
RAUM$104M as of Jan 16, 2013
Feb 15, 2012$401M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 16, 2013
Feb 15, 20120 then
Employees (5.A): 4
Private funds1 as of Jan 16, 2013
Feb 15, 20121 then
RAUM -93% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 9, 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
$6.6MderivedRAUM 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
-74%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
$26.4M, 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
$26.4M for 4 clientsreported
Compensation
% of AUM, fixed, 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••• M••••• F•••• L••• •• L•••••••••no longer reportedHedge Fund$327M158Feb 15, 2012
      L••••• U••• F•••• L•••Hedge Fund$18.3M40Jan 16, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • G•••• E••••• · Principalcontrol
        since 12/2000 · owns less than 5%
      • H••••••••• L•••• S•• · Smd-Chief Operations Officer/Chief Compliance Officercontrol
        since 01/2010 · owns less than 5%
      • G•••• D•••• · Limited Partnercontrol
        since 11/2005 · owns 25% to 50% of L•• M•••••• L•••
      • G•••• D•••• · M•••••control
        since 05/2004 · owns 75% or more of E•• S••••••• L••
      • G•••• E••••• · M•••••control
        since 05/2004 · owns 75% or more of E• S••• S••••••• L••
      • G•••• E••••• · Limited Partnercontrol
        since 11/2005 · owns 25% to 50% of L•• M•••••• L•••
      Entity owners
      • L•• M•••••• L••• · Managing M•••••
        direct · owns 75% or more
      • E•• S••••••• L•• · M•••••
        indirect · owns 50% to 75% of L•• G•••••• P••••••• L••
      • E• S••• S••••••• L•• · M•••••
        indirect · owns 50% to 75% of L•• G•••••• P••••••• L••
      • L•• G•••••• P••••••• L•• · G•••••• Partner
        indirect · owns F of L•• M•••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list L••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $104M to $26.4M
        Jan 16, 2013 to Aug 9, 2013
      • Discretionary RAUM · $104M to $26.4M
        Jan 16, 2013 to Aug 9, 2013
      • RAUM · $104M to $26.4M
        Jan 16, 2013 to Aug 9, 2013
      • Accounts · 7 to 4
        Feb 15, 2012 to Jan 16, 2013
      • Advisory employees · unset to 4.0
        Feb 15, 2012 to Jan 16, 2013
      • Assets in custody · $401M to $104M
        Feb 15, 2012 to Jan 16, 2013
      • Employees · unset to 4.0
        Feb 15, 2012 to Jan 16, 2013
      • Discretionary RAUM · $401M to $104M
        Feb 15, 2012 to Jan 16, 2013
      • RAUM · $401M to $104M
        Feb 15, 2012 to Jan 16, 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