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Former SEC-registered adviser

S•••••• A•••• M••••••••• L••

Former SEC-registered adviserCRD 138163SEC 801-65607IAPD
Latest filing Apr 2, 2013
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$40.0M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$15.0M gross assets
History
4 filings and snapshots on the tape
RAUM$40.0M as of Apr 2, 2013
Mar 30, 2012$384M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 3
Private funds1 as of Apr 2, 2013
Mar 30, 20124 then
RAUM -90% over the last fiscal year
Practice profile
derived from the filing of Apr 2, 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
$13.3MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-90%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
$25.0M, 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
  • 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)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$25.0M for 2 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
      S•••••• G••••• T••••••••• F•••• L•••Hedge Fund$153M51Mar 30, 2012
      C••••• S••••• F•••• L•Hedge Fund$15.0M15Mar 30, 2012
      S••• A••••••••• G••••• F•••• L••Hedge Fund$7.0M1Mar 30, 2012
      S••• A••••••••• G••••• F•••• L•Hedge Fund$3.2M7Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• A•••••• C•••••• · Founder And Portfolio Managercontrol
        since 01/1999 · owns 75% or more
      • D•••••• S•••••• C•••••• · Director Of Research, Portfolio Manager And Chief Compliance Officer
        since 01/2000 · owns less than 5%
      • R••••• D••••• C• · Portfolio Manager
        since 03/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • San Mateo, CA
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 3
        Jul 9, 2012 to Apr 2, 2013
      • Advisory employees · unset to 2.0
        Jul 9, 2012 to Apr 2, 2013
      • Assets in custody · $169M to $25.0M
        Jul 9, 2012 to Apr 2, 2013
      • Employees · unset to 3.0
        Jul 9, 2012 to Apr 2, 2013
      • HQ city · NEW YORK to unset
        Jul 9, 2012 to Apr 2, 2013
      • HQ state · NY to unset
        Jul 9, 2012 to Apr 2, 2013
      • State-registered IARs · unset to 0.0
        Jul 9, 2012 to Apr 2, 2013
      • Private funds · 4 to 1
        Jul 9, 2012 to Apr 2, 2013
      • Discretionary RAUM · $384M to $40.0M
        Jul 9, 2012 to Apr 2, 2013
      • RAUM · $384M to $40.0M
        Jul 9, 2012 to Apr 2, 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