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S••••• C••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $477M of regulatory assets.

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

As of 2015-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $477M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -77%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2015-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -77% over the last fiscal year, to $477M.
2015-03-27
RAUM a year earlier $2.1BRAUM now $477M

Every filed figure, and the identifiersCRD 150413 · SEC 801-70249 · 32 filingsShow

CRD 150413SEC 801-70249First filing on the tape Dec 15, 2011, latest Mar 27, 2015IAPD

RAUM

$477M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$477M gross assets

History

32 filings and snapshots on the tape

RAUM$477M as of Mar 27, 2015

Mar 30, 2012$3.3B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2015

Mar 30, 20120 then

Employees (5.A)14 as of Mar 27, 2015

Apr 1, 201334 then

Private funds2 as of Mar 27, 2015

Mar 30, 20121 then

RAUM -77% over the last fiscal year-48% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2015; 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: $79.4MderivedRAUM 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: -77%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: yesreportedItem 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)
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

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: 6reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 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 departure Every arrival

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A••••••• P•••••••• L•no longer reported	Hedge Fund	$3.3B	178	Dec 15, 2011
A••••••• O••••••• M•••••• L•	Hedge Fund	$348M	66	Jan 15, 2013
A•••• P••••••• S•••••• O••••••••• M••••• F•••• L•••	Hedge Fund	$129M	14	Mar 30, 2012
O••••••••• M•••• O•••••• F••• I• L•no longer reported	Hedge Fund	$13.0M	1	Nov 29, 2012

Owners and control persons

Schedule A and B, latest filing

A••••• J••••• M••• · Managing Member & Chief Investment Officercontrol
since 10/2007 · owns 75% or more
B••••••• J••• M•••• · Chief Operating Officercontrol
since 05/2012 · owns less than 5%
B••••••• R•••••• A••• · Chief Compliance Officer/Chief Risk Officercontrol
since 03/2010 · owns less than 5%
G••••• K•••••• · Chief Financial Officercontrol
since 08/2013 · owns less than 5%

Related persons

Schedule D 7.A

A••••••• A•••••••• L••
investment adviserpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 3 to 2
Oct 9, 2014 to Mar 27, 2015
Employees · 24 to 14
Oct 9, 2014 to Mar 27, 2015
Discretionary RAUM · $999M to $477M
Oct 9, 2014 to Mar 27, 2015
RAUM · $999M to $477M
Oct 9, 2014 to Mar 27, 2015
Accounts · 3 to 6
Mar 28, 2014 to Aug 26, 2014
Advisory employees · 2 to 3
Mar 28, 2014 to Aug 26, 2014
Assets in custody · $2.1B to $0
Mar 28, 2014 to Aug 26, 2014
Employees · 27 to 24
Mar 28, 2014 to Aug 26, 2014
Private funds · 1 to 2
Mar 28, 2014 to Aug 26, 2014
Discretionary RAUM · $2.1B to $999M
Mar 28, 2014 to Aug 26, 2014
RAUM · $2.1B to $999M
Mar 28, 2014 to Aug 26, 2014
Assets in custody · $2.2B to $2.1B
Jan 6, 2014 to Mar 28, 2014
Discretionary RAUM · $2.2B to $2.1B
Jan 6, 2014 to Mar 28, 2014
RAUM · $2.2B to $2.1B
Jan 6, 2014 to Mar 28, 2014
Accounts · 5 to 3
Sep 17, 2013 to Jan 3, 2014
Employees · 34 to 27
Sep 17, 2013 to Jan 3, 2014
Private funds · 2 to 1
Sep 17, 2013 to Jan 3, 2014
Business name · A••••••• M••••••••• L•• to S••••• C••••••• L••
Jan 16, 2013 to Apr 1, 2013
Assets in custody · $3.3B to $2.2B
Jan 16, 2013 to Apr 1, 2013
Employees · 32 to 34
Jan 16, 2013 to Apr 1, 2013
Discretionary RAUM · $3.3B to $2.2B
Jan 16, 2013 to Apr 1, 2013
RAUM · $3.3B to $2.2B
Jan 16, 2013 to Apr 1, 2013
Related broker-dealer · true to false
Jan 16, 2013 to Apr 1, 2013
Legal name · A••••••• M••••••••• L•• to S••••• C••••••• L••
Jan 15, 2013 to Jan 16, 2013
Accounts · 4 to 5
Nov 29, 2012 to Jan 15, 2013
Accounts · 2 to 4
Aug 13, 2012 to Nov 29, 2012
Advisory employees · unset to 2.0
Aug 13, 2012 to Nov 29, 2012
Assets in custody · $3.3B to $3.3B
Aug 13, 2012 to Nov 29, 2012
Employees · unset to 32.0
Aug 13, 2012 to Nov 29, 2012
Private funds · 1 to 2
Aug 13, 2012 to Nov 29, 2012
Discretionary RAUM · $3.3B to $3.3B
Aug 13, 2012 to Nov 29, 2012
RAUM · $3.3B to $3.3B
Aug 13, 2012 to Nov 29, 2012
Assets in custody · $639M to $3.3B
Jan 24, 2012 to Mar 30, 2012
Discretionary RAUM · $639M to $3.3B
Jan 24, 2012 to Mar 30, 2012
RAUM · $639M to $3.3B
Jan 24, 2012 to Mar 30, 2012

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026