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Former SEC-registered adviser

E•• R•••• C•••••• M••••••••• L••

Former SEC-registered adviserIrvington, New YorkCRD 138549SEC 801-66307IAPD
Latest filing Aug 31, 2016
First filing on the tape Feb 8, 2012 · 15 filings
RAUM
$206M
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
15
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$373M gross assets
History
15 filings and snapshots on the tape
RAUM$373M as of Mar 30, 2016
Feb 8, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Feb 8, 20120 then
Employees (5.A)15 as of Mar 30, 2016
Mar 27, 201324 then
Private funds2 as of Mar 30, 2016
Feb 8, 20123 then
RAUM -81% over the last fiscal year-49% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 31, 2016; 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
$103MderivedRAUM 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
-66%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 pooled vehiclesreportedItem 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)
  • 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)
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
2reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•• R•••• C•••••• P•••••••• L•••Hedge Fund$212M13Feb 8, 2012
      E•• R•••• V•••• P••••••• O••••••• F•••• I•••Hedge Fund$161M6Feb 8, 2012
      E•• R•••• V•••• P••••••• O••••••• I••••••••• F•••• I•••Hedge Fund$10.9M1Feb 8, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• C••••••••• T••••• · Chief Compliance Officercontrol
        since 07/2016 · owns less than 5%
      • G••••••••• R•••••• E••• · Managing Membercontrol
        since 02/2001 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $373M to $206M
        Mar 30, 2016 to Aug 31, 2016
      • RAUM · $373M to $206M
        Mar 30, 2016 to Aug 31, 2016
      • Accounts · 3 to 2
        Nov 11, 2015 to Mar 30, 2016
      • Advisory employees · 10 to 8
        Nov 11, 2015 to Mar 30, 2016
      • Private funds · 3 to 2
        Nov 11, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.1B to $373M
        Nov 11, 2015 to Mar 30, 2016
      • RAUM · $1.1B to $373M
        Nov 11, 2015 to Mar 30, 2016
      • Advisory employees · 11 to 10
        Sep 29, 2015 to Nov 11, 2015
      • Employees · 19 to 15
        Sep 29, 2015 to Nov 11, 2015
      • Advisory employees · 13 to 11
        Feb 6, 2015 to Mar 30, 2015
      • Employees · 22 to 19
        Feb 6, 2015 to Mar 30, 2015
      • Discretionary RAUM · $1.3B to $1.1B
        Feb 6, 2015 to Mar 30, 2015
      • RAUM · $1.3B to $1.1B
        Feb 6, 2015 to Mar 30, 2015
      • Related bank · false to true
        Feb 6, 2015 to Mar 30, 2015
      • Advisory employees · 16 to 13
        May 2, 2013 to Mar 21, 2014
      • Employees · 24 to 22
        May 2, 2013 to Mar 21, 2014
      • Discretionary RAUM · $1.6B to $1.3B
        May 2, 2013 to Mar 21, 2014
      • RAUM · $1.6B to $1.3B
        May 2, 2013 to Mar 21, 2014
      • Advisory employees · 15 to 16
        Nov 26, 2012 to Mar 27, 2013
      • Financial planning clients · 1-10 to unset
        Nov 26, 2012 to Mar 27, 2013
      • Discretionary RAUM · $1.0B to $1.6B
        Nov 26, 2012 to Mar 27, 2013
      • RAUM · $1.0B to $1.6B
        Nov 26, 2012 to Mar 27, 2013
      • Advisory employees · unset to 15.0
        Oct 12, 2012 to Nov 26, 2012
      • Employees · unset to 24.0
        Oct 12, 2012 to Nov 26, 2012
      • Discretionary RAUM · $2.1B to $1.0B
        Feb 8, 2012 to Oct 12, 2012
      • RAUM · $2.1B to $1.0B
        Feb 8, 2012 to Oct 12, 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