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RIA Intelligence

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Former SEC-registered adviser

A••••• C••••••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 147994SEC 801-69653IAPD
Latest filing Aug 23, 2016
First filing on the tape Mar 28, 2012 · 17 filings
RAUM
$2.8B
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
945
353 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
40
$2.8B gross assets
History
17 filings and snapshots on the tape
RAUM$2.8B as of Mar 30, 2016
Mar 28, 2012$568M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20120 then
Employees (5.A)945 as of Mar 30, 2016
Mar 28, 2013634 then
Private funds40 as of Mar 30, 2016
Mar 28, 20124 then
RAUM +54% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 23, 2016; 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
$70.6MderivedRAUM 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
unknownderived7 offices incl. principal (1.F.5)
RAUM growth, one year
+54%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
Custody
$2.8B, 40 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • a related person acts as qualified custodian (9.D.2)
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
40reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.8B for 40 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
      A••• ••• I••• L•••no longer reportedPrivate Equity Fund$12.8M22Mar 28, 2013
      A••• I• T• ••••••••• D••• L••Private Equity Fund$3.3M13Mar 30, 2016
      A••••• A••• C••••••••• •••••• L•no longer reportedPrivate Equity Fund$468,2082Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• G••••••• A•••• · Vice Presidentcontrol
        since 08/2010 · owns less than 5%
      • B••••• L•••• D•••• · Presidentcontrol
        since 02/2010 · owns less than 5%
      • H•••••• J•••••• J••••• · Vice Presidentcontrol
        since 06/2008 · owns less than 5%
      • K••••• M•••••• B•••••• · Vice President And Chief Financial Officercontrol
        since 09/2012 · owns less than 5%
      • M•••••• C••••• Z•• · Vice President And Chief Compliance Officercontrol
        since 03/2014 · owns less than 5%
      • R••••• M•••• J•••••• · Vice Presidentcontrol
        since 06/2008 · owns less than 5%
      • S•••••• J•••• J••••• · Vice President And Chief Legal Officercontrol
        since 06/2008 · owns less than 5%
      • B••••• L•••• D•••• · General Partnercontrol
        since 08/2007 · owns F of B•••• F••••• P•••••••• L•••
      • B••••• L•••• D•••• · Shareholdercontrol
        since 08/2007 · owns 25% to 50% of B•• H••••••• G•• L•••
      • H•••••• J•••••• J••••• · General Partnercontrol
        since 08/2007 · owns F of M•• P•••••••• L•••
      • H•••••• J•••••• J••••• · Shareholdercontrol
        since 08/2007 · owns 25% to 50% of B•• H••••••• G•• L•••
      • R••••• M•••• J•••••• · Managing Membercontrol
        since 08/2007 · owns F of M•• F••••••••• L••
      • R••••• M•••• J•••••• · Shareholdercontrol
        since 08/2007 · owns 25% to 50% of B•• H••••••• G•• L•••
      Entity owners
      • A••••• C••••••••• C•••••• M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      • A••••• M••••••••• H•••••••• L••• · L•••••• Partner
        direct · owns 75% or more
      • A•• H••••••• •••••••• L••• · L•••••• Partner
        indirect · owns 75% or more of A••••• M••••••••• H•••••••• L•••
      • A•• H••••••• G•• L••• · General Partner
        indirect · owns F of A•• H••••••• •••••••• L•••
      • A•• C•••• · Sole Member
        indirect · owns F of A••••• M••••••••• H••••••• G•• L••
      • A•• C•••• · L•••••• Partner
        indirect · owns 25% to 50% of A•• H••••••• •••••••• L•••
      • A•• C•••• · Sole Member
        indirect · owns 75% or more of A•• H••••••• G•• L•••
      • A••••• G••••• M••••••••• L•• · Sole Shareholder
        indirect · owns 75% or more of A•• C•••• · public reporting company
      • A••••• M••••••••• H••••••• G•• L•• · General Partner
        indirect · owns F of A••••• M••••••••• H•••••••• L•••
      • A••••• M••••••••• H•••••••• L••• · Sole Member-M••••••
        indirect · owns F of A••••• C••••••••• Management Gp, LLC
      • B•• H••••••• G•• L••• · General Partner
        indirect · owns F of B•• H•••••••• L•••
      • B•• H••••••• G•• L••• · General Partner
        indirect · owns F of A• P••••••••• H•••••••• L•••
      • A• P••••••••• H•••••••• L••• · L•••••• Partner
        indirect · owns 50% to 75% of A•• H••••••• •••••••• L•••
      • B•••• F••••• P•••••••• L••• · L•••••• Partner
        indirect · owns 25% to 50% of B•• H•••••••• L•••
      • B•• H•••••••• L••• · L•••••• Partner
        indirect · owns 75% or more of A• P••••••••• H•••••••• L•••
      • M•• P•••••••• L••• · L•••••• Partner
        indirect · owns 25% to 50% of B•• H•••••••• L•••
      • M•• F••••••••• L•• · L•••••• Partner
        indirect · owns 25% to 50% of B•• H•••••••• L•••
      Related persons
      Schedule D 7.A
      • 2••• C••••• M••••••••• L••
        investment adviserbankn
      • 2••• C•••••• M••••••••• L••
        investment adviserbankn
      • A••••• M••••••••• L••
        investment advisern
      • A••• • C•• D••• M••••••• L••
        investment advisern
      • A••• • E• L••••• M••••••••• L••
        investment advisern
      • A••• • E• L••••• M••••••••• L••
        investment advisern
      • A••• A••• P•••••• L••••• M••••••••• L••
        investment advisern
      • A••• A••• P•••••• M••••••••• L••
        investment advisern
      • A••• C••• M••••••••• L••
        investment adviserbankn
      • A••• E••••• L••••• M••••••••• L••
        investment advisern
      • A••• E••••• M••••••••• L••
        investment advisern
      • A••• H••• K••• M••••••••• L••
        investment adviserbankn
      • A••• N• L••••• M••••••••• L••
        investment advisern
      • A••• N• M••••••••• L••
        investment adviserbankn
      • A••• C•••••• M••••••••• L••••••
        investment adviserbankcustodiann
      • A••• I•••• I••••••••• A••••••• P•••••• L••••••
        investment adviserbankcustodiann
      • A• A••••••••• A•••••• L•••
        investment advisern
      • A• T•• F••••••• L••
        pooled vehicle sponsorn
      • A• V••• P•••• S••••••• S••••••• M••••••••• L••
        investment adviserbankn
      • A••••• A•• C••••• M••••••••• L••
        investment adviserbankn
      • A••••• A•••••••• L•••
        pooled vehicle sponsorn
      • A••••• A••••••••• A•••••• L•••
        investment advisern
      • A••••• A••••••••• C••••• A••••••• R••••• M••••••••• L••
        investment adviserbankn
      • A••••• A••••••••• C••••• L••• S•••• M••••••••• L••
        investment adviserbankn
      • A••••• A•• M••••••••• L•••
        investment adviserbankn
      • A••••• A•••••••• M••••••••• L••
        investment adviserbankn
      • A••••• A••• M••••••••• L•••
        investment advisern
      • A••••• A••• R••• E••••• M••••••••• L••
        investment adviserbankn
      • A••••• B•••••• M••••••••• L••
        investment adviserbankn
      • A••••• B•• M••••••••• L••
        investment adviserbankn
      Advisers that list A••••• C••••••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Houston, TX
      • London, United Kingdom
      • Los Angeles, CA
      • New Y•••, NY
      • Purchase, NY
      • Toronto, Canada
      What changed
      consecutive filings, newest first
      • Accounts · 24 to 40
        Nov 25, 2015 to Mar 30, 2016
      • Advisory employees · 320 to 353
        Nov 25, 2015 to Mar 30, 2016
      • BD registered reps · 90 to 114
        Nov 25, 2015 to Mar 30, 2016
      • Assets in custody · $1.8B to $2.8B
        Nov 25, 2015 to Mar 30, 2016
      • Employees · 845 to 945
        Nov 25, 2015 to Mar 30, 2016
      • Private funds · 24 to 40
        Nov 25, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.8B to $2.8B
        Nov 25, 2015 to Mar 30, 2016
      • RAUM · $1.8B to $2.8B
        Nov 25, 2015 to Mar 30, 2016
      • Accounts · 19 to 24
        Mar 17, 2015 to Mar 31, 2015
      • Advisory employees · 277 to 320
        Mar 17, 2015 to Mar 31, 2015
      • BD registered reps · 83 to 90
        Mar 17, 2015 to Mar 31, 2015
      • Assets in custody · $2.6B to $1.8B
        Mar 17, 2015 to Mar 31, 2015
      • Employees · 710 to 845
        Mar 17, 2015 to Mar 31, 2015
      • Private funds · 19 to 24
        Mar 17, 2015 to Mar 31, 2015
      • Discretionary RAUM · $2.6B to $1.8B
        Mar 17, 2015 to Mar 31, 2015
      • RAUM · $2.6B to $1.8B
        Mar 17, 2015 to Mar 31, 2015
      • Advisory employees · 253 to 277
        Jun 20, 2013 to Mar 31, 2014
      • BD registered reps · 78 to 83
        Jun 20, 2013 to Mar 31, 2014
      • Assets in custody · $1.3B to $2.6B
        Jun 20, 2013 to Mar 31, 2014
      • Employees · 634 to 710
        Jun 20, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.3B to $2.6B
        Jun 20, 2013 to Mar 31, 2014
      • RAUM · $1.3B to $2.6B
        Jun 20, 2013 to Mar 31, 2014
      • Accounts · 20 to 19
        Apr 25, 2013 to Jun 20, 2013
      • Assets in custody · $1.3B to $1.3B
        Apr 25, 2013 to Jun 20, 2013
      • Discretionary RAUM · $1.3B to $1.3B
        Apr 25, 2013 to Jun 20, 2013
      • RAUM · $1.3B to $1.3B
        Apr 25, 2013 to Jun 20, 2013
      • Private funds · 20 to 19
        Apr 23, 2013 to Apr 25, 2013
      • Private funds · 21 to 20
        Mar 28, 2013 to Apr 23, 2013
      • Accounts · 4 to 20
        Dec 20, 2012 to Mar 28, 2013
      • Advisory employees · 230 to 253
        Dec 20, 2012 to Mar 28, 2013
      • BD registered reps · 63 to 78
        Dec 20, 2012 to Mar 28, 2013
      • Assets in custody · $568M to $1.3B
        Dec 20, 2012 to Mar 28, 2013
      • Employees · 600 to 634
        Dec 20, 2012 to Mar 28, 2013
      • Private funds · 4 to 21
        Dec 20, 2012 to Mar 28, 2013
      • Discretionary RAUM · $568M to $1.3B
        Dec 20, 2012 to Mar 28, 2013
      • RAUM · $568M to $1.3B
        Dec 20, 2012 to Mar 28, 2013
      • Related bank · false to true
        Dec 20, 2012 to Mar 28, 2013
      • Advisory employees · unset to 230.0
        Aug 17, 2012 to Nov 27, 2012
      • BD registered reps · unset to 63.0
        Aug 17, 2012 to Nov 27, 2012
      • Employees · unset to 600.0
        Aug 17, 2012 to Nov 27, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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