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Former SEC-registered adviser

B•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 150910SEC 801-70451IAPD
Latest filing Mar 21, 2017
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$157M
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$157M as of Mar 21, 2017
Mar 30, 2012$169M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2017
Mar 30, 20120 then
Employees (5.A)5 as of Mar 21, 2017
Apr 1, 20135 then
Private funds: no history
RAUM -2.2% over the last fiscal year-9.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2017; 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
$7.5MderivedRAUM 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
-2.2%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • 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)
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
21reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • D•••• C••••••• J•••• · Chief Compliance Officercontrol
        since 01/2015 · owns less than 5%
      • H••••••••• R•••• N•••• · Portfolio Managercontrol
        since 09/2014 · owns 25% to 50%
      • U•••••• A••••• · Chief Operating Officercontrol
        since 01/2009 · owns less than 5%
      • U•••••• B•••••• A•••••• · Portfolio Managercontrol
        since 01/2009 · owns less than 5%
      • U•••••• R•••••• J••• · Senior Advisor
        since 09/2014 · owns 10% to 25%
      Entity owners
      • T•• R••••• J• U••••• 1••• G•• T•••• F••••• A••••• E• U••••• A•• H•• I•••• · Member
        direct · owns 25% to 50%
      • T•• R••••• J• U••••• 1••• G•• T•••• F••••• B••••• A• U••••• A•• H•• I•••• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 22 to 21
        Jul 21, 2016 to Mar 21, 2017
      • Advisory activities · 3 to 2
        Jul 21, 2016 to Mar 21, 2017
      • Discretionary RAUM · $161M to $157M
        Jul 21, 2016 to Mar 21, 2017
      • RAUM · $161M to $157M
        Jul 21, 2016 to Mar 21, 2017
      • Discretionary RAUM · $179M to $161M
        Jan 23, 2015 to Mar 30, 2016
      • RAUM · $179M to $161M
        Jan 23, 2015 to Mar 30, 2016
      • Accounts · 25 to 22
        Dec 18, 2014 to Jan 23, 2015
      • Advisory activities · 2 to 3
        Dec 18, 2014 to Jan 23, 2015
      • Discretionary RAUM · $213M to $179M
        Dec 18, 2014 to Jan 23, 2015
      • RAUM · $213M to $179M
        Dec 18, 2014 to Jan 23, 2015
      • Succession · true to false
        Dec 18, 2014 to Jan 23, 2015
      • Succession · false to true
        Oct 15, 2014 to Dec 18, 2014
      • Accounts · 24 to 25
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $185M to $213M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $185M to $213M
        Apr 1, 2013 to Mar 28, 2014
      • Accounts · 28 to 24
        Apr 13, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Apr 13, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Apr 13, 2012 to Apr 1, 2013
      • Discretionary RAUM · $169M to $185M
        Apr 13, 2012 to Apr 1, 2013
      • RAUM · $169M to $185M
        Apr 13, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • B•••••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 18, 2014 · Succession (Item 4) · fact
      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