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Former SEC-registered adviser

E•••• C•••••• M••••••••• L••

Former SEC-registered adviserMumbai, CRD 147198SEC 801-69214IAPD
Latest filing Mar 14, 2017
First filing on the tape Jan 23, 2012 · 4 filings
RAUM
$6.3M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$6.3M as of Mar 14, 2017
Jan 23, 2012$32.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2017
Jan 23, 20120 then
Employees (5.A)5 as of Mar 14, 2017
Apr 30, 20155 then
Private funds: no history
RAUM -31% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 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
$6.3MderivedRAUM 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
-31%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 pooled vehiclesreportedItem 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• R••• · Managing Directorcontrol
        since 08/2005 · owns 75% or more
      • C••••••• V••••• · Chief Compliance Officercontrol
        since 05/2009 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • E•••• C•••••• M••••••••• L••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $9.1M to $6.3M
        Mar 23, 2016 to Mar 14, 2017
      • RAUM · $9.1M to $6.3M
        Mar 23, 2016 to Mar 14, 2017
      • Advisory employees · 3 to 4
        Apr 30, 2015 to Mar 23, 2016
      • Discretionary RAUM · $10.0M to $9.1M
        Apr 30, 2015 to Mar 23, 2016
      • RAUM · $10.0M to $9.1M
        Apr 30, 2015 to Mar 23, 2016
      • Advisory employees · unset to 3.0
        Jan 23, 2012 to Apr 30, 2015
      • Employees · unset to 5.0
        Jan 23, 2012 to Apr 30, 2015
      • HQ city · NORWALK to MUMBAI
        Jan 23, 2012 to Apr 30, 2015
      • HQ state · CT to unset
        Jan 23, 2012 to Apr 30, 2015
      • Discretionary RAUM · $0 to $10.0M
        Jan 23, 2012 to Apr 30, 2015
      • Non-discretionary RAUM · $32.6M to $0
        Jan 23, 2012 to Apr 30, 2015
      • RAUM · $32.6M to $10.0M
        Jan 23, 2012 to Apr 30, 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