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Former SEC-registered adviser

C•••••••• M••••••••• L••

Former SEC-registered adviserPleasantville, New YorkCRD 149772SEC 801-70109IAPD
Latest filing Mar 28, 2024
First filing on the tape Mar 29, 2012 · 16 filings
RAUM
$881M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.6%
$22.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$7.2M gross assets
History
16 filings and snapshots on the tape
RAUM$881M as of Mar 28, 2024
Mar 29, 2012$279M then
HNW client RAUM$22.7M as of Mar 28, 2024
Mar 27, 2020$13.0M then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 29, 20120 then
Employees (5.A)5 as of Mar 28, 2024
Mar 28, 20137 then
Private funds1 as of Mar 28, 2024
Mar 29, 20129 then
RAUM -32% over the last fiscal year-8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
$1.7MderivedHNW RAUM over HNW clients
Average account
$35.2MderivedRAUM 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
-32%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$7.2M, 1 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$781M89%
  • Corporations and businesses$69.8M7.9%
  • High-net-worth individuals$22.7M2.6%
  • Pooled investment vehicles$7.2M0.8%
Individual clients
n/areported
HNW clients
13reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$7.2M for 1 clientsreported
Compensation
% of AUM, fixed, 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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• N•••• P•••••••• L•no longer reportedHedge Fund$37.4M2Mar 27, 2015
      C•••••••• H• I••• F••• I• L•••no longer reportedHedge Fund$28.4M2Mar 29, 2012
      C•••••••• A••••••• R••••• M••••• F•••• L•••Hedge Fund$19.5M13Mar 29, 2012
      C•••••••• H••• Y•••• P•••••••• L•no longer reportedHedge Fund$17.4M8Mar 29, 2012
      C•••• L••no longer reportedHedge Fund$10.9M21Mar 29, 2017
      C•••••••• H• F•••• L•••no longer reportedHedge Fund$10.4M20Mar 29, 2017
      C•••••••• A••••••• R••••• P•••••••• L•Hedge Fund$7.2M13Mar 29, 2012
      C•••••••• A••••••• R••••• F•••• L•••no longer reportedHedge Fund$5.6M4Mar 29, 2012
      C•••••••• H• I••• F••• I• L•no longer reportedHedge Fund$588,9872Mar 29, 2012
      C•••••••• P•••••••• L•no longer reportedHedge Fund$380,5804Mar 29, 2012
      C•••••••• C••••• O••••••••• M••••• F•••• L•••no longer reportedHedge Fund$01Mar 29, 2012
      C•••••••• H••• Y•••• I••••••••• M••••• F•••• L•••no longer reportedHedge Fund$02Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J•••••••• S••• · Chief Financial Officer; Non Managing Member; Chief Compliance Officercontrol
        since 04/2004 · owns less than 5%
      • S••••••• D••••• K• •• O•••• · Managing Membercontrol
        since 07/1996 · owns 50% to 75%
      • D••••••• R•••••• A••• · Trusteecontrol
        since 12/2013 · owns F of D•••• K• S•••••• 1••• F••••• T••••
      • B•••• J•••••••• I•• · Non-Managing Member
        since 01/2016 · owns less than 5%
      • F••••••• B••••• A• · Non-Managing Member
        since 12/2013 · owns 5% to 10%
      • W••••••• T•••••• K••• · Non-Managing Member
        since 01/2020 · owns less than 5%
      Entity owners
      • D•••• K• S•••••• 1••• F••••• T•••• · Non-Managning Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list C•••••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Corporate clients · 5 to 10
        Mar 30, 2023 to Mar 28, 2024
      • HNW clients · 16 to 13
        Mar 30, 2023 to Mar 28, 2024
      • Pooled vehicle clients · 2 to 1
        Mar 30, 2023 to Mar 28, 2024
      • Assets in custody · $18.6M to $7.2M
        Mar 30, 2023 to Mar 28, 2024
      • Private funds · 2 to 1
        Mar 30, 2023 to Mar 28, 2024
      • Discretionary RAUM · $1.3B to $881M
        Mar 30, 2023 to Mar 28, 2024
      • HNW RAUM · $12.8M to $22.7M
        Mar 30, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $19.5M to $7.2M
        Mar 30, 2023 to Mar 28, 2024
      • RAUM · $1.3B to $881M
        Mar 30, 2023 to Mar 28, 2024
      • Accounts · 29 to 25
        Mar 30, 2022 to Mar 30, 2023
      • Advisory employees · 8 to 3
        Mar 30, 2022 to Mar 30, 2023
      • Corporate clients · 9 to 5
        Mar 30, 2022 to Mar 30, 2023
      • Assets in custody · $25.8M to $18.6M
        Mar 30, 2022 to Mar 30, 2023
      • Employees · 13 to 5
        Mar 30, 2022 to Mar 30, 2023
      • Discretionary RAUM · $1.5B to $1.3B
        Mar 30, 2022 to Mar 30, 2023
      • HNW RAUM · $13.9M to $12.8M
        Mar 30, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $27.1M to $19.5M
        Mar 30, 2022 to Mar 30, 2023
      • RAUM · $1.5B to $1.3B
        Mar 30, 2022 to Mar 30, 2023
      • Accounts · 27 to 29
        May 26, 2021 to Mar 30, 2022
      • Advisory employees · 7 to 8
        May 26, 2021 to Mar 30, 2022
      • Corporate clients · 7 to 9
        May 26, 2021 to Mar 30, 2022
      • Assets in custody · $24.3M to $25.8M
        May 26, 2021 to Mar 30, 2022
      • Employees · 12 to 13
        May 26, 2021 to Mar 30, 2022
      • Discretionary RAUM · $1.1B to $1.5B
        May 26, 2021 to Mar 30, 2022
      • HNW RAUM · $15.0M to $13.9M
        May 26, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $25.5M to $27.1M
        May 26, 2021 to Mar 30, 2022
      • RAUM · $1.1B to $1.5B
        May 26, 2021 to Mar 30, 2022
      • Accounts · 30 to 27
        Jun 22, 2020 to Mar 30, 2021
      • Corporate clients · 6 to 7
        Jun 22, 2020 to Mar 30, 2021
      • HNW clients · 18 to 16
        Jun 22, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 4 to 2
        Jun 22, 2020 to Mar 30, 2021
      • Assets in custody · $22.3M to $24.3M
        Jun 22, 2020 to Mar 30, 2021
      • Private funds · 4 to 2
        Jun 22, 2020 to Mar 30, 2021
      • Discretionary RAUM · $1.3B to $1.1B
        Jun 22, 2020 to Mar 30, 2021
      • HNW RAUM · $13.0M to $15.0M
        Jun 22, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $34.0M to $25.5M
        Jun 22, 2020 to Mar 30, 2021
      • RAUM · $1.3B to $1.1B
        Jun 22, 2020 to Mar 30, 2021
      • Accounts · 12 to 30
        Mar 28, 2019 to Mar 27, 2020
      • Advisory employees · 8 to 7
        Mar 28, 2019 to Mar 27, 2020
      • Corporate clients · 3 to 6
        Mar 28, 2019 to Mar 27, 2020
      Signals
      2 dated events
      • C•••••••• M••••••••• L•• reported RAUM $880.6M, down 32% from $1.3B (2023-03-30 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • C•••••••• M••••••••• L•• reported RAUM $1.5B, up 33% from $1.1B (2021-05-26 to 2022-03-30)
        Mar 30, 2022 · 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