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Former SEC-registered adviser

G••••••• C•••••• A•••••••• L••

Former SEC-registered adviserPurchase, New YorkCRD 144087SEC 801-67919IAPD
Latest filing Mar 29, 2022
First filing on the tape Mar 12, 2012 · 14 filings
RAUM
$798M
reported, Item 5.F
Discretionary
5.6%
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$798M as of Mar 29, 2022
Mar 12, 2012$515M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 12, 20120 then
Employees (5.A)2 as of Mar 29, 2022
Mar 7, 20134 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2022; 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
$133MderivedRAUM over accounts (5.F.2.f)
Discretionary
5.6%derivedof RAUM
Institutional
100%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
+19%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 feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$754M94%
  • Pension and profit-sharing plans$44.2M5.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• A•••••• · Chairman, Chief Executive Officer, Member Of Board Of Managerscontrol
        since 05/2007 · owns 75% or more
      • O••• S••••••••• J••• · Cfo And Chief Compliance Officer
        since 04/2020 · owns 10% to 25%
      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 · $54.5M to $44.4M
        Mar 15, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $615M to $754M
        Mar 15, 2021 to Mar 29, 2022
      • Pension RAUM · $54.3M to $44.2M
        Mar 15, 2021 to Mar 29, 2022
      • RAUM · $669M to $798M
        Mar 15, 2021 to Mar 29, 2022
      • Advisory employees · 3 to 2
        Mar 27, 2020 to Mar 15, 2021
      • Employees · 3 to 2
        Mar 27, 2020 to Mar 15, 2021
      • Discretionary RAUM · $67.2M to $54.5M
        Mar 27, 2020 to Mar 15, 2021
      • Non-discretionary RAUM · $448M to $615M
        Mar 27, 2020 to Mar 15, 2021
      • Pension RAUM · $66.9M to $54.3M
        Mar 27, 2020 to Mar 15, 2021
      • RAUM · $515M to $669M
        Mar 27, 2020 to Mar 15, 2021
      • Related insurance company · false to true
        Mar 27, 2020 to Mar 15, 2021
      • Discretionary RAUM · $78.4M to $67.2M
        Mar 18, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $408M to $448M
        Mar 18, 2019 to Mar 27, 2020
      • Pension RAUM · $77.9M to $66.9M
        Mar 18, 2019 to Mar 27, 2020
      • RAUM · $486M to $515M
        Mar 18, 2019 to Mar 27, 2020
      • HQ city · NEW YORK to PURCHASE
        Mar 24, 2018 to Mar 18, 2019
      • Discretionary RAUM · $85.7M to $78.4M
        Mar 24, 2018 to Mar 18, 2019
      • Non-discretionary RAUM · $330M to $408M
        Mar 24, 2018 to Mar 18, 2019
      • Pension RAUM · $85.0M to $77.9M
        Mar 24, 2018 to Mar 18, 2019
      • RAUM · $416M to $486M
        Mar 24, 2018 to Mar 18, 2019
      • Other offices · unset to 0.0
        May 3, 2017 to Mar 24, 2018
      • Discretionary RAUM · $104M to $85.7M
        May 3, 2017 to Mar 24, 2018
      • Non-discretionary RAUM · $352M to $330M
        May 3, 2017 to Mar 24, 2018
      • Pension RAUM · unset to 84985608.0
        May 3, 2017 to Mar 24, 2018
      • RAUM · $456M to $416M
        May 3, 2017 to Mar 24, 2018
      • Discretionary RAUM · $124M to $104M
        Mar 15, 2016 to Mar 23, 2017
      • Non-discretionary RAUM · $350M to $352M
        Mar 15, 2016 to Mar 23, 2017
      • RAUM · $474M to $456M
        Mar 15, 2016 to Mar 23, 2017
      • Discretionary RAUM · $137M to $124M
        Mar 5, 2015 to Mar 15, 2016
      • Non-discretionary RAUM · $319M to $350M
        Mar 5, 2015 to Mar 15, 2016
      • RAUM · $456M to $474M
        Mar 5, 2015 to Mar 15, 2016
      • Discretionary RAUM · $150M to $137M
        Mar 6, 2014 to Mar 5, 2015
      • Non-discretionary RAUM · $298M to $319M
        Mar 6, 2014 to Mar 5, 2015
      • RAUM · $448M to $456M
        Mar 6, 2014 to Mar 5, 2015
      • Employees · 4 to 3
        Mar 7, 2013 to Mar 6, 2014
      • Discretionary RAUM · $176M to $150M
        Mar 7, 2013 to Mar 6, 2014
      • Non-discretionary RAUM · $329M to $298M
        Mar 7, 2013 to Mar 6, 2014
      • RAUM · $504M to $448M
        Mar 7, 2013 to Mar 6, 2014
      • Advisory employees · unset to 3.0
        Mar 12, 2012 to Mar 7, 2013
      • Employees · unset to 4.0
        Mar 12, 2012 to Mar 7, 2013
      Signals
      2 dated events
      • ••• Locked
        Mar 15, 2021 · RAUM change · derived
      • ••• Locked
        Mar 27, 2020 · Control person left · inference
      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