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Former SEC-registered adviser

N•••••• C•••••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 138502SEC 801-65798IAPD
Latest filing Apr 7, 2014
First filing on the tape Feb 15, 2012 · 8 filings
RAUM
$62.8M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$11.4M gross assets
History
8 filings and snapshots on the tape
RAUM$62.8M as of Apr 7, 2014
Feb 15, 2012$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 7, 2014
Jan 28, 20130 then
Employees (5.A)4 as of Apr 7, 2014
Jan 28, 20135 then
Private funds2 as of Apr 7, 2014
Feb 15, 20122 then
RAUM -54% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 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
$9.0MderivedRAUM 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
-54%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, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
7reported
Financial planning clients
n/areported
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
      N•••••• E••••••• M•••••• O••••••••• M••••• F•••• L•••Hedge Fund$8.8M6Feb 15, 2012
      N•••••• D••••••••• O••••••••• M••••• F•••• L•••Hedge Fund$2.6M20Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• P••••• W••••• · Partnercontrol
        since 01/2004 · owns 25% to 50%
      • J••••• R•••••• R••••••••• · Partnercontrol
        since 07/2007 · owns 10% to 25%
      • T•••••• R•••••• M••• · Partner/Chief Compliance Officercontrol
        since 01/2004 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • N•••••• A••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 7
        Feb 11, 2013 to Apr 7, 2014
      • Advisory employees · 3 to 2
        Feb 11, 2013 to Apr 7, 2014
      • Assets in custody · 58700000.0 to unset
        Feb 11, 2013 to Apr 7, 2014
      • Custody of client assets · true to false
        Feb 11, 2013 to Apr 7, 2014
      • Employees · 5 to 4
        Feb 11, 2013 to Apr 7, 2014
      • Discretionary RAUM · $136M to $62.8M
        Feb 11, 2013 to Apr 7, 2014
      • RAUM · $136M to $62.8M
        Feb 11, 2013 to Apr 7, 2014
      • Discretionary RAUM · $128M to $136M
        Jan 14, 2013 to Jan 28, 2013
      • RAUM · $128M to $136M
        Jan 14, 2013 to Jan 28, 2013
      • Advisory employees · unset to 3.0
        Aug 20, 2012 to Jan 14, 2013
      • Employees · unset to 5.0
        Aug 20, 2012 to Jan 14, 2013
      • State-registered IARs · unset to 0.0
        Aug 20, 2012 to Jan 14, 2013
      • Assets in custody · unset to 58700000.0
        Aug 20, 2012 to Aug 20, 2012
      • Custody of client assets · false to true
        Aug 20, 2012 to Aug 20, 2012
      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