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Former SEC-registered adviser

S•••• R•• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 152078SEC 801-70845IAPD
Latest filing Apr 29, 2025
First filing on the tape Apr 2, 2012 · 18 filings
SEC status approved since Dec 7, 2009
RAUM
$335M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
34%
$115M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$335M as of Apr 29, 2025
Apr 2, 2012$125M then
HNW client RAUM$115M as of Apr 29, 2025
Mar 29, 2018$101M then
State-registered IARs (5.B.3)3 as of Apr 29, 2025
Apr 2, 20120 then
Employees (5.A)4 as of Apr 29, 2025
Apr 30, 20134 then
Private funds2 as of Apr 29, 2025
Mar 29, 20192 then
RAUM +8.2% over the last fiscal year+0.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 29, 2025; every figure names its basis
RAUM per advisor
$112MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
4derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$14.4MderivedHNW RAUM over HNW clients
Average account
$22.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
0.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+8.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$209M, 2 clientsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Pooled investment vehicles$209M62%
  • High-net-worth individuals$115M34%
  • Charitable organizations$11.3M3.4%
  • Individuals$199,5060.1%
Individual clients
4reported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$209M for 2 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• A••••••••• L•••Hedge Fund$183M19Mar 29, 2019
      S•••• R•• C•••••• P•••••••• L•••Hedge Fund$11.8M14Mar 29, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• J••••••• A•••••••• · Managing Member; Chief Compliance Officercontrol
        since 10/2009 · owns 50% to 75%
      • H•••••• R•••••• F•••••• · Managing Membercontrol
        since 10/2009 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Osprey, FL1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 46 to 15
        Apr 26, 2024 to Apr 29, 2025
      • Assets in custody · $195M to $209M
        Apr 26, 2024 to Apr 29, 2025
      • Financial planning clients · 0 to 0
        Apr 26, 2024 to Apr 29, 2025
      • Discretionary RAUM · $310M to $335M
        Apr 26, 2024 to Apr 29, 2025
      • HNW RAUM · $103M to $115M
        Apr 26, 2024 to Apr 29, 2025
      • Individual RAUM · $723,708 to $199,506
        Apr 26, 2024 to Apr 29, 2025
      • Pooled vehicle RAUM · $195M to $209M
        Apr 26, 2024 to Apr 29, 2025
      • RAUM · $310M to $335M
        Apr 26, 2024 to Apr 29, 2025
      • Accounts · 15 to 46
        Mar 31, 2023 to Mar 28, 2024
      • Advisory employees · 5 to 4
        Mar 31, 2023 to Mar 28, 2024
      • Individual clients · 5 to 4
        Mar 31, 2023 to Mar 28, 2024
      • Assets in custody · $175M to $195M
        Mar 31, 2023 to Mar 28, 2024
      • Employees · 5 to 4
        Mar 31, 2023 to Mar 28, 2024
      • State-registered IARs · 0 to 3
        Mar 31, 2023 to Mar 28, 2024
      • Discretionary RAUM · $278M to $310M
        Mar 31, 2023 to Mar 28, 2024
      • HNW RAUM · $91.9M to $103M
        Mar 31, 2023 to Mar 28, 2024
      • Individual RAUM · $667,375 to $723,708
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $175M to $195M
        Mar 31, 2023 to Mar 28, 2024
      • RAUM · $278M to $310M
        Mar 31, 2023 to Mar 28, 2024
      • Accounts · 29 to 15
        Mar 17, 2022 to Mar 31, 2023
      • Charity clients · 1.0 to unset
        Mar 17, 2022 to Mar 31, 2023
      • HNW clients · 26 to 8
        Mar 17, 2022 to Mar 31, 2023
      • Individual clients · unset to 5.0
        Mar 17, 2022 to Mar 31, 2023
      • Assets in custody · $198M to $175M
        Mar 17, 2022 to Mar 31, 2023
      • Discretionary RAUM · $326M to $278M
        Mar 17, 2022 to Mar 31, 2023
      • HNW RAUM · $121M to $91.9M
        Mar 17, 2022 to Mar 31, 2023
      • Individual RAUM · unset to 667375.0
        Mar 17, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $198M to $175M
        Mar 17, 2022 to Mar 31, 2023
      • RAUM · $326M to $278M
        Mar 17, 2022 to Mar 31, 2023
      • Accounts · 49 to 29
        Oct 7, 2021 to Mar 17, 2022
      • Charity clients · unset to 1.0
        Oct 7, 2021 to Mar 17, 2022
      • HNW clients · 46 to 26
        Oct 7, 2021 to Mar 17, 2022
      • Assets in custody · $180M to $198M
        Oct 7, 2021 to Mar 17, 2022
      • Other offices · 1 to 3
        Oct 7, 2021 to Mar 17, 2022
      • Discretionary RAUM · $316M to $326M
        Oct 7, 2021 to Mar 17, 2022
      • HNW RAUM · $126M to $121M
        Oct 7, 2021 to Mar 17, 2022
      • Pooled vehicle RAUM · $180M to $198M
        Oct 7, 2021 to Mar 17, 2022
      • RAUM · $316M to $326M
        Oct 7, 2021 to Mar 17, 2022
      • Advisory employees · 3 to 5
        Mar 31, 2020 to Mar 30, 2021
      • Assets in custody · $145M to $180M
        Mar 31, 2020 to Mar 30, 2021
      Signals
      1 dated events
      • S•••• R•• C••••••• L•• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $335.0M)
        Mar 2, 2026 · Left the SEC roster · derived
      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