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Former SEC-registered adviser

C•••••• C•••••••• M••••••••• L•••••

Former SEC-registered adviserNew York, New YorkCRD 145243SEC 801-68496IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 5, 2012 · 22 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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$524M as of Mar 30, 2016
Mar 5, 2012$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 5, 20120 then
Employees (5.A)0 as of Mar 29, 2017
Mar 26, 201343 then
Private funds6 as of Mar 30, 2016
Mar 5, 20125 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; 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
percentage of assets, fixed feesreportedItem 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
% 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V•• S•••••• P•••••• V•••••• S••Hedge Fund$281M3Mar 5, 2012
      C•••••• C••••••••• L•••Hedge Fund$117M5Mar 5, 2012
      V•••••••• L•••Hedge Fund$18.9M22Mar 5, 2012
      I••••• O••••••••• L•••no longer reportedHedge Fund$10.3M1Mar 5, 2012
      A•••• M•••••• L•••Hedge Fund$7.1M24Mar 3, 2014
      C•••••• P••••••• C••••••••• L•••Hedge Fund$4.4M13Mar 5, 2012
      S••••••• L••••••Hedge Fund$01Aug 29, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• S•••• E••• · Chief Operating Officer And Chief Legal Officer Of C•••••• Global Market Strategies Business Segmentcontrol
        since 06/2014 · owns less than 5%
      • R••••• V••••••••• N••••••••• · Chief Financial Officer Of C•••••• Global Market Strategies Business Segmentcontrol
        since 09/2014 · owns less than 5%
      • G••••••• A•••••• T••••• · Member
        since 03/2005 · owns 5% to 10%
      • G••••• J•••••• E•••• · Chief Compliance Officer
        since 07/2016 · owns less than 5%
      • N••••••• C••••• R•••••• · Member
        since 03/2005 · owns 5% to 10%
      Entity owners
      • T• G••••• L••••• · Managing Member
        direct · owns 75% or more
      • C•••••• G•••• M••••••••• L••••• · General Partner
        indirect · owns F of T•• C•••••• G•••• L•••
      • C•••••• H••••••• I• G• I•• · Member
        indirect · owns 75% or more of C•••••• H••••••• I• G• S•• L•••••
      • C•••••• H••••••• I• G• S•• L••••• · General Partner
        indirect · owns F of C•••••• H••••••• I• L•••
      • C•••••• H••••••• I• L••• · Member
        indirect · owns 75% or more of T• G••••• L•••••
      • T•• C•••••• G•••• L••• · Shareholder
        indirect · owns 75% or more of C•••••• H••••••• I• G• I••. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3.0 to unset
        Jan 26, 2017 to Mar 29, 2017
      • Assets in custody · $7.1M to $0
        Jan 26, 2017 to Mar 29, 2017
      • Custody of client assets · true to false
        Jan 26, 2017 to Mar 29, 2017
      • Employees · 2 to 0
        Jan 26, 2017 to Mar 29, 2017
      • Private funds · 1 to unset
        Jan 26, 2017 to Mar 29, 2017
      • Discretionary RAUM · 7142092.0 to unset
        Jan 26, 2017 to Mar 29, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Jan 26, 2017 to Mar 29, 2017
      • RAUM · 7142092.0 to unset
        Jan 26, 2017 to Mar 29, 2017
      • Accounts · 7 to 3
        Oct 28, 2016 to Jan 26, 2017
      • Advisory employees · 2 to 0
        Oct 28, 2016 to Jan 26, 2017
      • Assets in custody · $176M to $7.1M
        Oct 28, 2016 to Jan 26, 2017
      • Employees · 5 to 2
        Oct 28, 2016 to Jan 26, 2017
      • Private funds · 3 to 1
        Oct 28, 2016 to Jan 26, 2017
      • Discretionary RAUM · $176M to $7.1M
        Oct 28, 2016 to Jan 26, 2017
      • RAUM · $176M to $7.1M
        Oct 28, 2016 to Jan 26, 2017
      • Accounts · 13 to 7
        Jul 25, 2016 to Oct 28, 2016
      • Advisory employees · 6 to 2
        Jul 25, 2016 to Oct 28, 2016
      • Assets in custody · $246M to $176M
        Jul 25, 2016 to Oct 28, 2016
      • Employees · 9 to 5
        Jul 25, 2016 to Oct 28, 2016
      • Private funds · 5 to 3
        Jul 25, 2016 to Oct 28, 2016
      • Discretionary RAUM · $246M to $176M
        Jul 25, 2016 to Oct 28, 2016
      • RAUM · $246M to $176M
        Jul 25, 2016 to Oct 28, 2016
      • Accounts · 14 to 13
        Jun 8, 2016 to Jul 25, 2016
      • Assets in custody · $408M to $246M
        Jun 8, 2016 to Jul 25, 2016
      • Employees · 17 to 9
        Jun 8, 2016 to Jul 25, 2016
      • Private funds · 6 to 5
        Jun 8, 2016 to Jul 25, 2016
      • Discretionary RAUM · $408M to $246M
        Jun 8, 2016 to Jul 25, 2016
      • RAUM · $408M to $246M
        Jun 8, 2016 to Jul 25, 2016
      • Assets in custody · $524M to $408M
        Mar 30, 2016 to Jun 8, 2016
      • Discretionary RAUM · $524M to $408M
        Mar 30, 2016 to Jun 8, 2016
      • RAUM · $524M to $408M
        Mar 30, 2016 to Jun 8, 2016
      • Advisory employees · 9 to 6
        Aug 31, 2015 to Mar 30, 2016
      • Business name · V••••••••• A•••• M••••••••• L•• to C•••••• C•••••••• M••••••••• L•••••
        Aug 31, 2015 to Mar 30, 2016
      • Assets in custody · $710M to $524M
        Aug 31, 2015 to Mar 30, 2016
      • Employees · 25 to 17
        Aug 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $710M to $524M
        Aug 31, 2015 to Mar 30, 2016
      • RAUM · $710M to $524M
        Aug 31, 2015 to Mar 30, 2016
      • Legal name · V••••••••• A•••• M••••••••• L•• to C•••••• C•••••••• M••••••••• L•••••
        Aug 31, 2015 to Aug 31, 2015
      • Assets in custody · $928M to $710M
        Mar 31, 2015 to Aug 3, 2015
      • Discretionary RAUM · $928M to $710M
        Mar 31, 2015 to Aug 3, 2015
      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