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Former SEC-registered adviser

L• F•••••••• F•••• S••••••••• L••••••

Former SEC-registered adviserSingapore, CRD 150818SEC 801-70773IAPD
Latest filing Jun 22, 2020
First filing on the tape Dec 20, 2011 · 16 filings
RAUM
$121M
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
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$121M as of Mar 29, 2020
Mar 30, 2012$177M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2020
Mar 30, 20120 then
Employees (5.A)7 as of Mar 29, 2020
Mar 20, 20139 then
Private funds: no history
RAUM -13% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 22, 2020; 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
$24.1MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-13%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$96.9M80%
  • Banks and thrifts$23.6M20%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
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
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• P••••••• G••••••• · Directorcontrol
        since 08/2016 · owns less than 5%
      • C•••••• N••••• P•••••• · Chief Legal Officer + Chief Compliance Officercontrol
        since 08/2016 · owns less than 5%
      • L••••••• P•••••••• G•• J••••••••• · Directorcontrol
        since 08/2016 · owns less than 5%
      Entity owners
      • G••••• L• F•••••••• · Direct Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • C••••• F••••••• D• C••••• M••••• N••• E•••••
        y
      • G••••• L• F••••••••
        pooled vehicle sponsory
      • L• F•••••••• A•••• M•••••••••
        pooled vehicle sponsory
      • L• F•••••••• F•••• S••••••••• ••• P••• L••••••
        investment advisery
      • L• F•••••••• F•••• S••••••••• ••• L••••••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      • Stamford, CT2 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $138M to $121M
        Jun 24, 2019 to Mar 29, 2020
      • Pooled vehicle RAUM · $116M to $96.9M
        Jun 24, 2019 to Mar 29, 2020
      • RAUM · $138M to $121M
        Jun 24, 2019 to Mar 29, 2020
      • Accounts · 4 to 5
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 7 to 6
        Mar 30, 2018 to Mar 29, 2019
      • Employees · 8 to 7
        Mar 30, 2018 to Mar 29, 2019
      • HQ city · STAMFORD to SINGAPORE
        Mar 30, 2018 to Mar 29, 2019
      • HQ state · CT to unset
        Mar 30, 2018 to Mar 29, 2019
      • Other offices · 0 to 1
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $127M to $138M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $127M to $116M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $127M to $138M
        Mar 30, 2018 to Mar 29, 2019
      • Accounts · 3 to 4
        May 8, 2017 to Mar 30, 2018
      • Advisory activities · 3 to 2
        May 8, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 4.0
        May 8, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • Discretionary RAUM · $116M to $127M
        May 8, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 127453053.0
        May 8, 2017 to Mar 30, 2018
      • RAUM · $116M to $127M
        May 8, 2017 to Mar 30, 2018
      • Business name · F•••• S••••••••• L•••••• to L• F•••••••• F•••• S••••••••• L••••••
        Mar 30, 2017 to May 8, 2017
      • Accounts · 8 to 3
        Aug 9, 2016 to Mar 30, 2017
      • Advisory employees · 9 to 7
        Aug 9, 2016 to Mar 30, 2017
      • Advisory activities · 2 to 3
        Aug 9, 2016 to Mar 30, 2017
      • Employees · 10 to 8
        Aug 9, 2016 to Mar 30, 2017
      • HQ city · OLD GREENWICH to STAMFORD
        Aug 9, 2016 to Mar 30, 2017
      • Legal name · F•••• S••••••••• L•••••• to L• F•••••••• F•••• S••••••••• L••••••
        Aug 9, 2016 to Mar 30, 2017
      • Discretionary RAUM · $43.3M to $116M
        Aug 9, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $200M to $0
        Aug 9, 2016 to Mar 30, 2017
      • RAUM · $244M to $116M
        Aug 9, 2016 to Mar 30, 2017
      • Accounts · 9 to 8
        Mar 27, 2015 to Mar 30, 2016
      • Advisory employees · 10 to 9
        Mar 27, 2015 to Mar 30, 2016
      • Employees · 11 to 10
        Mar 27, 2015 to Mar 30, 2016
      • Organization form · Other (specify) to Corporation
        Mar 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $213M to $43.3M
        Mar 27, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $260M to $200M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $473M to $244M
        Mar 27, 2015 to Mar 30, 2016
      • Accounts · 7 to 9
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $180M to $213M
        Mar 31, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $0 to $260M
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $180M to $473M
        Mar 31, 2014 to Mar 27, 2015
      Signals
      2 dated events
      • ••• Locked
        Jun 22, 2020 · Control person left · inference
      • ••• Locked
        Apr 23, 2019 · Control person left · inference
      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