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Former SEC-registered adviser

L••••• C••••• • C•• L••

Former SEC-registered adviserNew York, New YorkCRD 138194SEC 801-65358IAPD
Latest filing Mar 17, 2021
First filing on the tape Mar 21, 2012 · 10 filings
RAUM
$68.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.2%
$4.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$80.5M gross assets
History
10 filings and snapshots on the tape
RAUM$68.3M as of Mar 17, 2021
Mar 21, 2012$240M then
HNW client RAUM$4.3M as of Mar 17, 2021
Mar 23, 2018$5.3M then
State-registered IARs (5.B.3)0 as of Mar 17, 2021
Mar 11, 20130 then
Employees (5.A)5 as of Mar 17, 2021
Mar 11, 20139 then
Private funds2 as of Mar 17, 2021
Mar 21, 20121 then
RAUM -9.7% over the last fiscal year-5.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2021; 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
$22.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%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
-9.7%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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Other investment advisers$63.0M92%
  • High-net-worth individuals$4.3M6.2%
  • Pension and profit-sharing plans$1.0M1.5%
Individual clients
n/areported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L• C•••••• M••••• F•••• L••Hedge Fund$75.2M30Mar 21, 2012
      L• C•••••• T••••••• O••••••••• F•••• L•Hedge Fund$5.3M2Mar 6, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• R••••••• F•••••• · Managing Membercontrol
        since 10/1999 · owns 50% to 75%
      • L••••• S•••••• G••••• · Managing Membercontrol
        since 10/1999 · owns 50% to 75%
      • S••••••••• E•••• A•••••••• · Chief Compliance Officer
        since 01/2005 · 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.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $75.5M to $68.3M
        Jan 27, 2020 to Mar 17, 2021
      • HNW RAUM · $6.0M to $4.3M
        Jan 27, 2020 to Mar 17, 2021
      • Pension RAUM · $550,000 to $1.0M
        Jan 27, 2020 to Mar 17, 2021
      • RAUM · $75.5M to $68.3M
        Jan 27, 2020 to Mar 17, 2021
      • Discretionary RAUM · $73.5M to $75.5M
        Feb 20, 2019 to Jan 27, 2020
      • Pension RAUM · $200,000 to $550,000
        Feb 20, 2019 to Jan 27, 2020
      • RAUM · $73.5M to $75.5M
        Feb 20, 2019 to Jan 27, 2020
      • Discretionary RAUM · $80.5M to $73.5M
        Mar 23, 2018 to Feb 20, 2019
      • HNW RAUM · $5.3M to $6.0M
        Mar 23, 2018 to Feb 20, 2019
      • RAUM · $80.5M to $73.5M
        Mar 23, 2018 to Feb 20, 2019
      • HNW clients · unset to 0.0
        Mar 6, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Mar 6, 2017 to Mar 23, 2018
      • Discretionary RAUM · $85.0M to $80.5M
        Mar 6, 2017 to Mar 23, 2018
      • HNW RAUM · unset to 5300000.0
        Mar 6, 2017 to Mar 23, 2018
      • Individual RAUM · unset to 0.0
        Mar 6, 2017 to Mar 23, 2018
      • Pension RAUM · unset to 200000.0
        Mar 6, 2017 to Mar 23, 2018
      • RAUM · $85.0M to $80.5M
        Mar 6, 2017 to Mar 23, 2018
      • Advisory employees · 6 to 5
        Mar 7, 2016 to Mar 6, 2017
      • Employees · 6 to 5
        Mar 7, 2016 to Mar 6, 2017
      • Discretionary RAUM · $86.0M to $85.0M
        Mar 7, 2016 to Mar 6, 2017
      • RAUM · $86.0M to $85.0M
        Mar 7, 2016 to Mar 6, 2017
      • Discretionary RAUM · $96.0M to $86.0M
        Feb 9, 2015 to Mar 7, 2016
      • RAUM · $96.0M to $86.0M
        Feb 9, 2015 to Mar 7, 2016
      • Employees · 8 to 6
        Mar 6, 2014 to Feb 9, 2015
      • Discretionary RAUM · $130M to $96.0M
        Mar 6, 2014 to Feb 9, 2015
      • RAUM · $130M to $96.0M
        Mar 6, 2014 to Feb 9, 2015
      • Accounts · 2 to 3
        Mar 11, 2013 to Mar 6, 2014
      • Advisory employees · 8 to 6
        Mar 11, 2013 to Mar 6, 2014
      • Employees · 9 to 8
        Mar 11, 2013 to Mar 6, 2014
      • Private funds · 1 to 2
        Mar 11, 2013 to Mar 6, 2014
      • Discretionary RAUM · $137M to $130M
        Mar 11, 2013 to Mar 6, 2014
      • RAUM · $137M to $130M
        Mar 11, 2013 to Mar 6, 2014
      • Advisory employees · unset to 8.0
        Mar 21, 2012 to Mar 11, 2013
      • Employees · unset to 9.0
        Mar 21, 2012 to Mar 11, 2013
      • State-registered IARs · unset to 0.0
        Mar 21, 2012 to Mar 11, 2013
      • Discretionary RAUM · $240M to $137M
        Mar 21, 2012 to Mar 11, 2013
      • RAUM · $240M to $137M
        Mar 21, 2012 to Mar 11, 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