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A••• C•••••• M••••••••• ••• Y•••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Southport, Connecticutwebsite

Former SEC-registered adviser, based in Southport, Connecticut, reporting $10.0M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$10.0M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
Advisors (1)Advisor 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 150682 · SEC 801-70425 · 3 filingsShow
CRD 150682SEC 801-70425First filing on the tape Mar 28, 2012, latest Jul 16, 2012IAPD
RAUM
$10.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$10.0M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$10.0M gross assets
History
3 filings and snapshots on the tape
RAUM$10.0M as of Jul 16, 2012
Mar 28, 2012$10.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds1 as of Jul 16, 2012
Mar 28, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 16, 2012; every figure names its basis
RAUM per advisor
$10.0MderivedRAUM 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
$3.3MderivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.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
3reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••• H••• L••Southport, CtJun 10, 201322 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••• G••••• J•••• G•••••• C•••• H••••••• L•••Hedge Fund$10.0M2Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••• K••••• •••• · Chief Compliance Officercontrol
        since 06/2010 · owns less than 5%
      • L••• C••••• H••• · Shareholder- A••• C•••••• M••••••••• •••••••• L••• (Relying Adviser)control
        since 01/2004 · owns 75% or more
      • P•••••• P•••••••• •••• · Managing Directorcontrol
        since 05/2005 · owns less than 5%
      • L••• C••••• H••• · Shareholdercontrol
        since 01/2009 · owns 75% or more of A••• C•••••• M••••••••• •••••••• L•••
      Entity owners
      • A••• C•••••• M••••••••• •••••••• L••• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••• C•••••• M••••••••• ••••••• L•••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
      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
      $10.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026