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Former SEC-registered adviser

V••••• I••••••••• A•••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 144369SEC 801-68213IAPD
Latest filing Mar 1, 2018
First filing on the tape Feb 15, 2012 · 10 filings
RAUM
$158M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$158M gross assets
History
10 filings and snapshots on the tape
RAUM$158M as of Mar 1, 2018
Feb 15, 2012$364M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 1, 2018
Feb 15, 20120 then
Employees (5.A)3 as of Mar 1, 2018
Jan 16, 20134 then
Private funds2 as of Mar 1, 2018
Feb 15, 20123 then
RAUM -2.2% over the last fiscal year-6.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 1, 2018; 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
$31.6MderivedRAUM 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
-2.2%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-based, otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
$158M, 5 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • 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
  • Pooled investment vehicles$158M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$158M for 5 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••••• O••••••• F••• •• L•••••••••Hedge Fund$95.9M87Feb 15, 2012
      V••••• Y•• F••• •• L•••••••••no longer reportedHedge Fund$63.3M6Feb 15, 2012
      V••••• U• F•••• L•• •• L•••••••••Hedge Fund$43.9M75Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••• E••••• · Limited Partnercontrol
        since 05/2007 · owns 25% to 50%
      • H••••••••• L•••• S•• · Smd-Coo/Cfo/Ccocontrol
        since 01/2010 · owns less than 5%
      • G•••• E••••• · Limited Partnercontrol
        since 10/2007 · owns F of V••••• E•••••••• A••••••••• L•••
      • G•••• E••••• · Membercontrol
        since 05/2004 · owns 75% or more of E• S••• S••••••• L••
      • N••••••••• S•••• · Shareholdercontrol
        since 11/2000 · owns 75% or more of N••••••••• S•••••••• I•••
      Entity owners
      • V••••• I••••••••• A••••••• G•• L•• · General Partner
        direct · owns less than 5%
      • E• S••• S••••••• L•• · Member
        indirect · owns 50% to 75% of V••••• I••••••••• A••••••• G•• L••
      • V••••• I••••••••• A••••••• G•• L•• · General Partner
        indirect · owns F of V••••• E•••••••• A••••••••• L•••
      • V••••• E•••••••• A••••••••• L••• · Limited Partner
        direct · owns 10% to 25%
      • L•••• I••••••••• L••• · Member
        indirect · owns 25% to 50% of V••••• I••••••••• A••••••• G•• L••
      • N••••••••• S•••••••• I••• · Limited Partner
        indirect · owns 25% to 50% of V••••• E•••••••• A••••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list V••••• I••••••••• A•••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 5.0
        Mar 23, 2017 to Mar 1, 2018
      • Assets in custody · $162M to $158M
        Mar 23, 2017 to Mar 1, 2018
      • Other offices · unset to 0.0
        Mar 23, 2017 to Mar 1, 2018
      • Discretionary RAUM · $162M to $158M
        Mar 23, 2017 to Mar 1, 2018
      • Pooled vehicle RAUM · unset to 157907010.0
        Mar 23, 2017 to Mar 1, 2018
      • RAUM · $162M to $158M
        Mar 23, 2017 to Mar 1, 2018
      • Assets in custody · $193M to $162M
        Dec 13, 2016 to Mar 23, 2017
      • Discretionary RAUM · $193M to $162M
        Dec 13, 2016 to Mar 23, 2017
      • RAUM · $193M to $162M
        Dec 13, 2016 to Mar 23, 2017
      • Assets in custody · $133M to $193M
        Mar 15, 2016 to Dec 13, 2016
      • Discretionary RAUM · $133M to $193M
        Mar 15, 2016 to Dec 13, 2016
      • RAUM · $133M to $193M
        Mar 15, 2016 to Dec 13, 2016
      • Assets in custody · $196M to $133M
        Mar 16, 2015 to Mar 15, 2016
      • Discretionary RAUM · $196M to $133M
        Mar 16, 2015 to Mar 15, 2016
      • RAUM · $196M to $133M
        Mar 16, 2015 to Mar 15, 2016
      • Advisory employees · 3 to 2
        Mar 17, 2014 to Mar 16, 2015
      • Assets in custody · $230M to $196M
        Mar 17, 2014 to Mar 16, 2015
      • Discretionary RAUM · $230M to $196M
        Mar 17, 2014 to Mar 16, 2015
      • RAUM · $230M to $196M
        Mar 17, 2014 to Mar 16, 2015
      • Advisory employees · 4 to 3
        Aug 9, 2013 to Mar 17, 2014
      • Assets in custody · $238M to $230M
        Aug 9, 2013 to Mar 17, 2014
      • Employees · 4 to 3
        Aug 9, 2013 to Mar 17, 2014
      • Discretionary RAUM · $238M to $230M
        Aug 9, 2013 to Mar 17, 2014
      • RAUM · $238M to $230M
        Aug 9, 2013 to Mar 17, 2014
      • Accounts · 6 to 5
        Jan 16, 2013 to Aug 9, 2013
      • Assets in custody · $308M to $238M
        Jan 16, 2013 to Aug 9, 2013
      • Private funds · 3 to 2
        Jan 16, 2013 to Aug 9, 2013
      • Discretionary RAUM · $308M to $238M
        Jan 16, 2013 to Aug 9, 2013
      • RAUM · $308M to $238M
        Jan 16, 2013 to Aug 9, 2013
      • Accounts · 7 to 6
        Jun 25, 2012 to Jan 16, 2013
      • Advisory employees · unset to 4.0
        Jun 25, 2012 to Jan 16, 2013
      • Assets in custody · $364M to $308M
        Jun 25, 2012 to Jan 16, 2013
      • Employees · unset to 4.0
        Jun 25, 2012 to Jan 16, 2013
      • Discretionary RAUM · $364M to $308M
        Jun 25, 2012 to Jan 16, 2013
      • RAUM · $364M to $308M
        Jun 25, 2012 to Jan 16, 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