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Former SEC-registered adviser

Q•• A•••• M••••••••• L•••

Former SEC-registered adviserGreenwich, ConnecticutCRD 138330SEC 801-65095IAPD
Latest filing Feb 7, 2014
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$627M
reported, Item 5.F
Discretionary
9.5%
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
13
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$139M gross assets
History
6 filings and snapshots on the tape
RAUM$1.0B as of Mar 28, 2013
Mar 28, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Mar 28, 20120 then
Employees (5.A): 28
Private funds3 as of Mar 28, 2013
Mar 28, 201214 then
RAUM -60% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 7, 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
$157MderivedRAUM over accounts (5.F.2.f)
Discretionary
9.5%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
-34%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
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$139M, 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
  • 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)
  • 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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$139M for 3 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
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q•• P••••••• A••••• L•••Hedge Fund$250M1Mar 28, 2012
      Q•• G••••• M•••• M••••• F•••• L•••Hedge Fund$193M4Mar 28, 2012
      P••••• Q•• F• L•••Hedge Fund$137M7Mar 28, 2012
      P••••• Q•• G••••• M•••• L•••Hedge Fund$124M7Mar 28, 2012
      Q•• G••••• M•••• F•••• L••Hedge Fund$116M19Mar 28, 2012
      P••••• Q•• F•••• I••••• L•••Hedge Fund$95.6M3Mar 28, 2012
      Q•• C••••••• M••••• F••• L•••Hedge Fund$70.0M3Mar 28, 2012
      Q•• F•••• I••••• M••••• F•••• L•••Hedge Fund$60.5M4Mar 28, 2012
      Q•• C••••••• F•••• L•••Hedge Fund$49.6M18Mar 28, 2012
      Q•• F•••• I••••• F•••• L••Hedge Fund$32.4M5Mar 28, 2012
      Q•• C••••••• F•••• L•••Hedge Fund$19.7M15Mar 28, 2012
      Q•• G••••• M•••• F•••• L•••Hedge Fund$12.5M11Mar 28, 2012
      S••••• G•••• A••••••••• S••••••••• P•• L•••••• E•••• I••• C•••Hedge Fund$11.9M4Mar 28, 2012
      Q•• F•••• I••••• F•••• L•••Hedge Fund$01Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••• K•••••••• · Chief Executive Officer And Chairman Of The General Partnercontrol
        since 04/2011 · owns less than 5%
      • V••••••••• L••• · Chief Financial Officercontrol
        since 01/2013 · owns less than 5%
      • Z••••••••• D••••• L•••• · Coo, General Counsel And Chief Compliance Officercontrol
        since 03/2006 · owns less than 5%
      • M•••• K•••••••• · Member And Managercontrol
        since 04/2011 · owns 25% to 50% of M•••• P••••••• H•••••••• L••
      • M•••• K•••••••• · Sole Membercontrol
        since 12/2012 · owns 75% or more of A•••• H•••••••• L••
      • G•••••••• S•••••• · L•••••• Partner
        since 03/1995 · owns 10% to 25%
      • G•••••••• S•••••• · Chairman, Ceo, And Shareholder
        since 09/1993 · owns 75% or more of Q••••••••• F•••••••• S•••••••••, Inc.
      • G•••••••• S•••••• · General Partner
        since 12/2001 · owns F of G••••••• F••••• P•••••••• L•••
      • V•• B•••••• S••••••• M• · Member
        since 04/2011 · owns 25% to 50% of M•••• P••••••• H•••••••• L••
      Entity owners
      • G•• U• H•••••• I••• · L•••••• Partner
        direct · owns 25% to 50%
      • Q•• A•••• M••••••••• I••• · General Partner
        direct · owns less than 5%
      • A•••• H•••••••• L•• · Shareholder
        indirect · owns 75% or more of Q•• A•••• M••••••••• I•••
      • G•• G•••• A• · Shareholder
        indirect · owns 75% or more of G•• U• H•••••• I•••
      • G••••••• F••••• P•••••••• L••• · L•••••• Partner
        direct · owns 10% to 25%
      • M••••• I••••••••• L•• · L•••••• Partner
        direct · owns 10% to 25%
      • M•••• P••••••• H•••••••• L•• · L•••••• Partner
        direct · owns 5% to 10%
      • Q••••••••• F•••••••• S••••••••• I•• · L•••••• Partner
        direct · owns 5% to 10%
      • S•••••• J• G••••••• M•••• 2••• T•••• · L•••••• Partner
        indirect · owns 75% or more of G••••••• F••••• P•••••••• L•••
      • T•• U••••••••• O• C•••••• · Member
        indirect · owns 75% or more of M••••• I••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list Q•• A•••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 4
        Mar 28, 2013 to Feb 7, 2014
      • Advisory employees · 9 to 5
        Mar 28, 2013 to Feb 7, 2014
      • Employees · 28 to 13
        Mar 28, 2013 to Feb 7, 2014
      • Discretionary RAUM · $472M to $59.6M
        Mar 28, 2013 to Feb 7, 2014
      • Non-discretionary RAUM · $550M to $567M
        Mar 28, 2013 to Feb 7, 2014
      • RAUM · $1.0B to $627M
        Mar 28, 2013 to Feb 7, 2014
      • Accounts · 24 to 9
        Jan 14, 2013 to Mar 28, 2013
      • Advisory employees · 14 to 9
        Jan 14, 2013 to Mar 28, 2013
      • Assets in custody · $1.3B to $139M
        Jan 14, 2013 to Mar 28, 2013
      • Employees · 40 to 28
        Jan 14, 2013 to Mar 28, 2013
      • Insurance-licensed employees · 2 to 0
        Jan 14, 2013 to Mar 28, 2013
      • State-registered IARs · 2 to 0
        Jan 14, 2013 to Mar 28, 2013
      • Private funds · 14 to 3
        Jan 14, 2013 to Mar 28, 2013
      • Discretionary RAUM · $1.5B to $472M
        Jan 14, 2013 to Mar 28, 2013
      • Non-discretionary RAUM · $40.0M to $550M
        Jan 14, 2013 to Mar 28, 2013
      • RAUM · $1.6B to $1.0B
        Jan 14, 2013 to Mar 28, 2013
      • Advisory employees · unset to 14.0
        Sep 10, 2012 to Jan 8, 2013
      • BD registered reps · unset to 0.0
        Sep 10, 2012 to Jan 8, 2013
      • Employees · unset to 40.0
        Sep 10, 2012 to Jan 8, 2013
      • State-registered IARs · 0 to 2
        Sep 10, 2012 to Jan 8, 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