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Former SEC-registered adviser

H••••••• A•••••••• L•••

Former SEC-registered adviserPaoli, PennsylvaniaCRD 138936SEC 801-65988IAPD
Latest filing Jun 28, 2013
First filing on the tape Mar 29, 2012 · 6 filings
RAUM
$85.8M
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$66.3M gross assets
History
6 filings and snapshots on the tape
RAUM$85.8M as of Apr 1, 2013
Mar 29, 2012$90.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Mar 29, 20120 then
Employees (5.A): 4
Private funds2 as of Apr 1, 2013
Mar 29, 20122 then
RAUM -5.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 28, 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
$7.2MderivedRAUM 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
-5.1%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, otherreportedItem 5.G
Custody
$68.4M, 3 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • the adviser acts as qualified custodian (9.D.1)
  • controlled by a public reporting company (10.A)
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
12reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$68.4M for 3 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• P•••••••• L•••Hedge Fund$53.9M43Mar 29, 2012
      C•••••••• P••••••• I•• L•••Hedge Fund$12.4M21Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• L•••••• J••• · Limited Partner And Chief Compliance Officercontrol
        since 08/1988 · owns less than 5%
      • C••••••••• L•••••• J••• · Sole Member, Elected Managercontrol
        since 12/2001 · owns 75% or more of C•••••••• G••••• L••
      • S••••••••• R•••••• L•• · Chief Financial Officer
        since 07/2005 · owns less than 5%
      Entity owners
      • C•••••••• G••••• L•• · General Partner
        direct · owns 75% or more
      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
      • Assets in custody · $76.6M to $68.4M
        Jun 7, 2013 to Jun 28, 2013
      • Accounts · 15 to 12
        Mar 29, 2012 to Apr 1, 2013
      • Advisory employees · unset to 1.0
        Mar 29, 2012 to Apr 1, 2013
      • Assets in custody · $68.2M to $76.6M
        Mar 29, 2012 to Apr 1, 2013
      • Employees · unset to 4.0
        Mar 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $90.4M to $85.8M
        Mar 29, 2012 to Apr 1, 2013
      • RAUM · $90.4M to $85.8M
        Mar 29, 2012 to Apr 1, 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