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Former SEC-registered adviser

T••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 151644SEC 801-73732IAPD
Latest filing Jul 11, 2018
First filing on the tape Feb 14, 2012 · 11 filings
RAUM
$70.6M
reported, Item 5.F
Discretionary
84%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$11.6M gross assets
History
11 filings and snapshots on the tape
RAUM$70.6M as of Mar 30, 2018
Apr 1, 2013$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Apr 1, 20130 then
Employees (5.A)2 as of Mar 30, 2018
Apr 1, 20137 then
Private funds1 as of Mar 30, 2018
Apr 1, 20135 then
RAUM -93% over the last fiscal year-57% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 11, 2018; 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
$35.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
84%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
-93%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 pooled vehicles, portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$59.0M84%
  • Pooled investment vehicles$11.6M16%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••• T•••• R••••• P•••••••• L••no longer reportedPrivate Equity Fund$190M15Mar 31, 2015
      T•••••• S••••••••• R••• E••••• F•••••• 2•••••• L•••no longer reportedSecuritized Asset Fund$138M1Apr 1, 2013
      G•••••• L••no longer reportedOther Private Fund$101M38Feb 14, 2012
      T•••••• S••••••••• R••• E••••• F•••••• 2•••••• L•••no longer reportedSecuritized Asset Fund$96.9M1Apr 1, 2013
      S•••• R••• E••••• C•• I• L•••Securitized Asset Fund$11.6M1Oct 7, 2016
      G•••• C••• C••••• O••••••••• L••no longer reportedHedge Fund$400,00022Feb 14, 2012
      T•••••• S••••••••• R••• E••••• F•••••• 2•••••• L•••no longer reportedSecuritized Asset Fund$200,0001Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• I••• E•••••• L• · Chief Executive Officer And Chief Compliance Officer Of Registrantcontrol
        since 12/2005 · owns less than 5%
      • S•••••• I••• E•••••• L• · Membercontrol
        since 09/2011 · owns 75% or more of E• C•••••• M••••••••• L••
      Entity owners
      • T••••••• L•• · Member Of Registrant
        direct · owns 75% or more
      • E• C•••••• M••••••••• L•• · Member
        indirect · owns 75% or more of T••••••• L••
      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
      • Advisory employees · 2 to 1
        Mar 30, 2018 to Jul 11, 2018
      • Employees · 2 to 1
        Mar 30, 2018 to Jul 11, 2018
      • Related insurance company · true to false
        Mar 30, 2018 to Jul 11, 2018
      • Accounts · 6 to 2
        Mar 30, 2017 to Mar 27, 2018
      • Advisory employees · 8 to 2
        Mar 30, 2017 to Mar 27, 2018
      • Advisory activities · 4 to 2
        Mar 30, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Mar 27, 2018
      • Assets in custody · 189650000.0 to unset
        Mar 30, 2017 to Mar 27, 2018
      • Custody of client assets · true to false
        Mar 30, 2017 to Mar 27, 2018
      • Employees · 8 to 2
        Mar 30, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 27, 2018
      • Private funds · 2 to 1
        Mar 30, 2017 to Mar 27, 2018
      • Discretionary RAUM · $238M to $59.0M
        Mar 30, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $815M to $11.6M
        Mar 30, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 11570000.0
        Mar 30, 2017 to Mar 27, 2018
      • RAUM · $1.1B to $70.6M
        Mar 30, 2017 to Mar 27, 2018
      • Related adviser · true to false
        Mar 30, 2017 to Mar 27, 2018
      • Accounts · 7 to 6
        Oct 7, 2016 to Mar 30, 2017
      • Assets in custody · $188M to $190M
        Oct 7, 2016 to Mar 30, 2017
      • Private funds · 4 to 2
        Oct 7, 2016 to Mar 30, 2017
      • Discretionary RAUM · $239M to $238M
        Oct 7, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $720M to $815M
        Oct 7, 2016 to Mar 30, 2017
      • RAUM · $959M to $1.1B
        Oct 7, 2016 to Mar 30, 2017
      • Accounts · 5 to 7
        Mar 30, 2016 to Oct 7, 2016
      • Advisory employees · 7 to 8
        Mar 30, 2016 to Oct 7, 2016
      • Advisory activities · 3 to 4
        Mar 30, 2016 to Oct 7, 2016
      • Assets in custody · $245M to $188M
        Mar 30, 2016 to Oct 7, 2016
      • Employees · 7 to 8
        Mar 30, 2016 to Oct 7, 2016
      • Private funds · 3 to 4
        Mar 30, 2016 to Oct 7, 2016
      • Discretionary RAUM · $245M to $239M
        Mar 30, 2016 to Oct 7, 2016
      • Non-discretionary RAUM · $734M to $720M
        Mar 30, 2016 to Oct 7, 2016
      • RAUM · $979M to $959M
        Mar 30, 2016 to Oct 7, 2016
      • Related insurance company · false to true
        Mar 30, 2016 to Oct 7, 2016
      • Accounts · 6 to 5
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $257M to $245M
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 4 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $257M to $245M
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $628M to $734M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $884M to $979M
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $237M to $257M
        Mar 31, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • T••••••• L•• reported RAUM $70.6M, down 93% from $1.1B (2017-03-30 to 2018-03-27)
        Mar 27, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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