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M•••••• L••• C•••••• M••••••••• L•••

Former SEC-registered adviserFormer SEC adviser16 private funds· Providence, Rhode Island

Former SEC-registered adviser, based in Providence, Rhode Island, reporting $1.6B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$1.6B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+15%
Form ADV, consecutive annual filings
Private clients
98% of RAUM, $1.5B
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 148887 · SEC 801-69768 · 21 filingsShow
CRD 148887SEC 801-69768First filing on the tape Mar 29, 2012, latest Mar 18, 2021IAPD
RAUM
$1.6B
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
98%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
16
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.6B as of Mar 18, 2021
Mar 29, 2012$601M then
HNW client RAUM$1.5B as of Mar 18, 2021
Mar 28, 2018$1.1B then
State-registered IARs (5.B.3)0 as of Mar 18, 2021
Mar 29, 20120 then
Employees (5.A)7 as of Mar 18, 2021
Mar 28, 20136 then
Private funds16 as of Mar 18, 2021
Mar 30, 201716 then
RAUM +15% over the last fiscal year+11% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 18, 2021; 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
$139MderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
56%derivedof RAUM
Institutional
2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+57%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$229M, 8 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.5B98%
  • Charitable organizations$37.1M2.4%
Individual clients
0reported
HNW clients
11reported
Pension plan clients
0reported
Charitable clients
3reported
Accounts
820reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$229M for 8 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••• L••• G•••• W••••• I•••••••• L••no longer reportedPrivate Equity Fund$06Dec 16, 2016
      M••• S••••••• L••Private Equity Fund$04Mar 18, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• G•••• M•••••• · Controller And Chief Compliance Officercontrol
        since 06/2017 · owns less than 5%
      • C•••••• H••••••• D•••••• · Managing Director, Limited Partnercontrol
        since 10/2008 · owns 75% or more
      • S•••••• M••••••• B•••••• · Managing Director, Chief Investment Officercontrol
        since 04/2018 · owns less than 5%
      • C•••••• H••••••• D•••••• · Sole Membercontrol
        since 10/2008 · owns 75% or more of H•• C•••••• L••
      Entity owners
      • H•• C•••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H•••••• D•••••• C•••••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 728 to 820
        Sep 17, 2020 to Mar 18, 2021
      • Advisory employees · 6 to 5
        Sep 17, 2020 to Mar 18, 2021
      • HNW clients · 7 to 11
        Sep 17, 2020 to Mar 18, 2021
      • Pooled vehicle clients · 15 to 16
        Sep 17, 2020 to Mar 18, 2021
      • Assets in custody · $159M to $229M
        Sep 17, 2020 to Mar 18, 2021
      • Employees · 9 to 7
        Sep 17, 2020 to Mar 18, 2021
      • Financial planning clients · 1-10 to 11-25
        Sep 17, 2020 to Mar 18, 2021
      • Other offices · 0 to 1
        Sep 17, 2020 to Mar 18, 2021
      • Private funds · 15 to 16
        Sep 17, 2020 to Mar 18, 2021
      • Discretionary RAUM · $841M to $882M
        Sep 17, 2020 to Mar 18, 2021
      • HNW RAUM · $1.3B to $1.5B
        Sep 17, 2020 to Mar 18, 2021
      • Non-discretionary RAUM · $522M to $682M
        Sep 17, 2020 to Mar 18, 2021
      • RAUM · $1.4B to $1.6B
        Sep 17, 2020 to Mar 18, 2021
      • Accounts · 487 to 728
        Jan 22, 2020 to Mar 27, 2020
      • Advisory employees · 5 to 6
        Jan 22, 2020 to Mar 27, 2020
      • Assets in custody · $125M to $159M
        Jan 22, 2020 to Mar 27, 2020
      • Employees · 8 to 9
        Jan 22, 2020 to Mar 27, 2020
      • Discretionary RAUM · $598M to $841M
        Jan 22, 2020 to Mar 27, 2020
      • HNW RAUM · $1.0B to $1.3B
        Jan 22, 2020 to Mar 27, 2020
      • Non-discretionary RAUM · $452M to $522M
        Jan 22, 2020 to Mar 27, 2020
      • RAUM · $1.0B to $1.4B
        Jan 22, 2020 to Mar 27, 2020
      • Accounts · 468 to 487
        Aug 28, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 16 to 15
        Aug 28, 2018 to Mar 28, 2019
      • Assets in custody · $110M to $125M
        Aug 28, 2018 to Mar 28, 2019
      • Private funds · 16 to 15
        Aug 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $594M to $598M
        Aug 28, 2018 to Mar 28, 2019
      • HNW RAUM · $1.1B to $1.0B
        Aug 28, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $564M to $452M
        Aug 28, 2018 to Mar 28, 2019
      • RAUM · $1.2B to $1.0B
        Aug 28, 2018 to Mar 28, 2019
      • Accounts · 369 to 468
        Feb 16, 2018 to Mar 28, 2018
      • Advisory employees · 4 to 5
        Feb 16, 2018 to Mar 28, 2018
      • Charity clients · 0 to 3
        Feb 16, 2018 to Mar 28, 2018
      • HNW clients · 0 to 7
        Feb 16, 2018 to Mar 28, 2018
      • Pooled vehicle clients · 0 to 16
        Feb 16, 2018 to Mar 28, 2018
      • Assets in custody · $98.2M to $110M
        Feb 16, 2018 to Mar 28, 2018
      • Employees · 7 to 8
        Feb 16, 2018 to Mar 28, 2018
      • Organization form · Partnership to Limited Partnership
        Feb 16, 2018 to Mar 28, 2018
      • Discretionary RAUM · $539M to $594M
        Feb 16, 2018 to Mar 28, 2018
      • HNW RAUM · $0 to $1.1B
        Feb 16, 2018 to Mar 28, 2018
      • Individual RAUM · 0.0 to unset
        Feb 16, 2018 to Mar 28, 2018
      Signals
      4 dated events
      • ••• Locked
        Sep 17, 2020 · Control person left · inference
      • ••• Locked
        Mar 27, 2020 · RAUM change · derived
      • ••• Locked
        Jan 22, 2020 · Control person joined · fact
      • ••• Locked
        Mar 28, 2018 · RAUM change · derived
      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
      Across the graphs

      M•••••• L••• C•••••• M••••••••• L••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

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