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Former SEC-registered adviser

I•• C••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 144896SEC 801-68298IAPD
Latest filing Jan 28, 2022
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$139M as of Mar 24, 2021
Mar 30, 2012$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 28, 2022
Mar 28, 20130 then
Employees (5.A)4 as of Jan 28, 2022
Mar 28, 201389 then
Private funds9 as of Mar 24, 2021
Mar 30, 20125 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•• G••••• C••••• M••••• F••• L••••••no longer reportedHedge Fund$128M5Nov 29, 2012
      I•• G••••• C••••• F•••• • I•• E• M••••••••• I••••• F•••no longer reportedHedge Fund$89.7M3Mar 30, 2012
      I•• G••••• V•••• L•••• M••••• F••• L••••••no longer reportedHedge Fund$63.7M1Mar 30, 2012
      I•• 1• E• C•• L•••Securitized Asset Fund$43.4M11Mar 30, 2012
      I•• O••• A•••• M••••• F••• L•••••• ••••Hedge Fund$37.7M1May 5, 2015
      I•• 3• G••••• C••••• C••• L•••Securitized Asset Fund$24.0M8Feb 12, 2014
      I•• G••••• C••••• C•• L••Securitized Asset Fund$13.9M8Jan 25, 2013
      I•• E• C•••••• A••••••• R••••• M••••• F••• ••••Hedge Fund$11.2M10Nov 6, 2014
      S••••• E••••••• M•••••• O••••••••• M••••• F••• L••••••no longer reportedHedge Fund$3.2M1Feb 12, 2014
      I•• F•••• E• D••••••••• M••••• F••• L•••••• ••••Hedge Fund$2.8M14Mar 30, 2012
      I•• G••••• C••••• A•••• F••• M••••• F••• L•••••• ••••Hedge Fund$1.4M4Jan 25, 2013
      I•• O••• M••••• F••• L•••••• ••••Hedge Fund$638,0001May 5, 2015
      I•• F•••• E• C••••• M••••• F••• L••••••Hedge Fund$301,00022Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• J•••••• S•••••• · Managing Partnercontrol
        since 10/2006 · owns less than 5%
      • J••••• M•••••••• R•••• · Managing Partnercontrol
        since 10/2006 · owns less than 5%
      • S••••••• N•••••• B•••••• · Chief Executive Officercontrol
        since 10/2006 · owns less than 5%
      • F•••••••• J•••••• S•••••• · Managercontrol
        since 12/2018 · owns F of P••••• L••
      • J••••• M•••••••• R•••• · Manager/Membercontrol
        since 12/2018 · owns F of S••••••• F•••• P••• P••••••• L••
      • A•••••••• D••••••• A•••••• · Chief Compliance Officer
        since 10/2006 · owns less than 5%
      Entity owners
      • F•• A•••• H••••••• L•• · Owner
        indirect · owns 25% to 50% of C••••• P•••••••• L••
      • I•••••• A•• A••• I••••••••• L•• · Member
        indirect · owns 25% to 50% of C••••• P•••••••• L••
      • P••••• L•• · Manager And Member
        indirect · owns F of F•• A•••• H••••••• L••
      • S•••••• L••••• T•••• D•••• A••••• 5• 1••• · General Partner
        indirect · owns 75% or more of R•••• C•••••• L•
      • S••••••• F•••• P••• P••••••• L•• · Manager And Member
        indirect · owns F of I•••••• A•• A••• I••••••••• L••
      • C••••• C•••••• A••••••• L•• · Member
        direct · owns 50% to 75%
      • R•••• C•••••• L• · Member
        direct · owns 50% to 75%
      • C••••• P•••••••• L•• · Member
        indirect · owns 75% or more of C••••• C•••••• A••••••• L••
      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
      • Accounts · 11.0 to unset
        Dec 2, 2021 to Jan 28, 2022
      • Advisory activities · 2 to 1
        Dec 2, 2021 to Jan 28, 2022
      • Pension plan clients · 1.0 to unset
        Dec 2, 2021 to Jan 28, 2022
      • Pooled vehicle clients · 10.0 to unset
        Dec 2, 2021 to Jan 28, 2022
      • Assets in custody · 54981000.0 to unset
        Dec 2, 2021 to Jan 28, 2022
      • Custody of client assets · true to false
        Dec 2, 2021 to Jan 28, 2022
      • Employees · 79 to 4
        Dec 2, 2021 to Jan 28, 2022
      • Private funds · 9 to unset
        Dec 2, 2021 to Jan 28, 2022
      • Discretionary RAUM · 139110000.0 to unset
        Dec 2, 2021 to Jan 28, 2022
      • Non-discretionary RAUM · 0.0 to unset
        Dec 2, 2021 to Jan 28, 2022
      • Pension RAUM · 2816000.0 to unset
        Dec 2, 2021 to Jan 28, 2022
      • Pooled vehicle RAUM · 136294000.0 to unset
        Dec 2, 2021 to Jan 28, 2022
      • RAUM · 139110000.0 to unset
        Dec 2, 2021 to Jan 28, 2022
      • Related broker-dealer · true to false
        Dec 2, 2021 to Jan 28, 2022
      • Advisory employees · 10 to 1
        Mar 27, 2020 to Mar 24, 2021
      • Assets in custody · $725M to $55.0M
        Mar 27, 2020 to Mar 24, 2021
      • Employees · 114 to 79
        Mar 27, 2020 to Mar 24, 2021
      • Discretionary RAUM · $818M to $139M
        Mar 27, 2020 to Mar 24, 2021
      • Pension RAUM · $4.9M to $2.8M
        Mar 27, 2020 to Mar 24, 2021
      • Pooled vehicle RAUM · $814M to $136M
        Mar 27, 2020 to Mar 24, 2021
      • RAUM · $818M to $139M
        Mar 27, 2020 to Mar 24, 2021
      • Advisory employees · 11 to 10
        Mar 29, 2019 to Mar 27, 2020
      • BD registered reps · 1 to 0
        Mar 29, 2019 to Mar 27, 2020
      • Assets in custody · $507M to $725M
        Mar 29, 2019 to Mar 27, 2020
      • Employees · 99 to 114
        Mar 29, 2019 to Mar 27, 2020
      • Discretionary RAUM · $795M to $818M
        Mar 29, 2019 to Mar 27, 2020
      • Pension RAUM · $45.0M to $4.9M
        Mar 29, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $750M to $814M
        Mar 29, 2019 to Mar 27, 2020
      • RAUM · $795M to $818M
        Mar 29, 2019 to Mar 27, 2020
      • BD registered reps · 5 to 1
        Mar 28, 2018 to Mar 25, 2019
      • Assets in custody · $546M to $507M
        Mar 28, 2018 to Mar 25, 2019
      • Employees · 98 to 99
        Mar 28, 2018 to Mar 25, 2019
      • Discretionary RAUM · $1.5B to $795M
        Mar 28, 2018 to Mar 25, 2019
      • Pension RAUM · $47.5M to $45.0M
        Mar 28, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $1.5B to $750M
        Mar 28, 2018 to Mar 25, 2019
      • RAUM · $1.5B to $795M
        Mar 28, 2018 to Mar 25, 2019
      • Accounts · 13 to 11
        Jun 26, 2017 to Mar 28, 2018
      • Advisory employees · 10 to 11
        Jun 26, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 1.0
        Jun 26, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 10.0
        Jun 26, 2017 to Mar 28, 2018
      Signals
      3 dated events
      • I•• C••••• L•• reported RAUM $139.1M, down 83% from $818.4M (2020-03-27 to 2021-03-24)
        Mar 24, 2021 · RAUM change · derived
      • I•• C••••• L•• reported RAUM $795.0M, down 49% from $1.5B (2018-03-28 to 2019-03-25)
        Mar 25, 2019 · RAUM change · derived
      • I•• C••••• L•• reported RAUM $1.5B, down 35% from $2.4B (2017-06-26 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      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