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Former SEC-registered adviser

C••••••••• C••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 152478SEC 801-76821IAPD
Legal name C••••••••• G•• L••
Latest filing Apr 29, 2020
First filing on the tape Jun 14, 2012 · 14 filings
RAUM
$442M
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
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$442M gross assets
History
14 filings and snapshots on the tape
RAUM$442M as of Mar 30, 2020
Mar 15, 2013$164M then
HNW client RAUM$25.6M as of Jan 24, 2019
Feb 27, 2018$55.0M then
State-registered IARs (5.B.3)4 as of Mar 30, 2020
Mar 15, 20139 then
Employees (5.A)9 as of Mar 30, 2020
Mar 15, 201312 then
Private funds1 as of Mar 30, 2020
Mar 15, 20132 then
RAUM +93% over the last fiscal year+57% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 29, 2020; every figure names its basis
RAUM per advisor
$110MderivedRAUM 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
$442MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+93%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$442M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$442M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$442M for 1 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• M•••••• L••••••• F•••• L•••Hedge Fund$442M36Feb 27, 2018
      C••••••••• A•• F•••• L•••no longer reportedHedge Fund$102M4Apr 30, 2012
      C••••••••• M••••••••• F•••• L•••no longer reportedHedge Fund$2.0M12Mar 15, 2013
      3•••••••no longer reportedHedge Fund$285,0002Apr 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• D•••• · Chief Scientistcontrol
        since 06/2010 · owns less than 5%
      • G•••• C••••• · Cco/Ceo/Coo/Cfocontrol
        since 06/2010 · owns less than 5%
      Entity owners
      • C••••••••• C••••••• L•• · Member
        direct · owns 75% or more
      • C••••••••• H•••••••• I••• · Owner
        indirect · owns 50% to 75% of C••••••••• C••••••• L••
      • M••••• P•••••••• L•• · Owner
        indirect · owns 25% to 50% of C••••••••• C••••••• 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
      • Accounts · 2 to 1
        Sep 4, 2019 to Mar 30, 2020
      • Advisory employees · 9 to 7
        Sep 4, 2019 to Mar 30, 2020
      • HNW clients · 1.0 to unset
        Sep 4, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 2 to 1
        Sep 4, 2019 to Mar 30, 2020
      • Assets in custody · $110M to $442M
        Sep 4, 2019 to Mar 30, 2020
      • Discretionary RAUM · $229M to $442M
        Sep 4, 2019 to Mar 30, 2020
      • HNW RAUM · 25644088.0 to unset
        Sep 4, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $203M to $442M
        Sep 4, 2019 to Mar 30, 2020
      • RAUM · $229M to $442M
        Sep 4, 2019 to Mar 30, 2020
      • Accounts · 6 to 2
        Apr 5, 2018 to Jan 24, 2019
      • Advisory employees · 8 to 9
        Apr 5, 2018 to Jan 24, 2019
      • Corporate clients · 1.0 to unset
        Apr 5, 2018 to Jan 24, 2019
      • HNW clients · 2 to 1
        Apr 5, 2018 to Jan 24, 2019
      • Employees · 8 to 9
        Apr 5, 2018 to Jan 24, 2019
      • Private funds · 2 to 1
        Apr 5, 2018 to Jan 24, 2019
      • Discretionary RAUM · $391M to $229M
        Apr 5, 2018 to Jan 24, 2019
      • HNW RAUM · $55.0M to $25.6M
        Apr 5, 2018 to Jan 24, 2019
      • Pooled vehicle RAUM · $110M to $203M
        Apr 5, 2018 to Jan 24, 2019
      • RAUM · $391M to $229M
        Apr 5, 2018 to Jan 24, 2019
      • Accounts · 3 to 6
        Mar 2, 2017 to Feb 27, 2018
      • Advisory employees · 7 to 8
        Mar 2, 2017 to Feb 27, 2018
      • Corporate clients · unset to 1.0
        Mar 2, 2017 to Feb 27, 2018
      • HNW clients · unset to 2.0
        Mar 2, 2017 to Feb 27, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 2, 2017 to Feb 27, 2018
      • Assets in custody · $38.8M to $110M
        Mar 2, 2017 to Feb 27, 2018
      • Other offices · unset to 0.0
        Mar 2, 2017 to Feb 27, 2018
      • Private funds · 1 to 2
        Mar 2, 2017 to Feb 27, 2018
      • Discretionary RAUM · $115M to $391M
        Mar 2, 2017 to Feb 27, 2018
      • HNW RAUM · unset to 55008580.0
        Mar 2, 2017 to Feb 27, 2018
      • Pooled vehicle RAUM · unset to 110083135.0
        Mar 2, 2017 to Feb 27, 2018
      • RAUM · $115M to $391M
        Mar 2, 2017 to Feb 27, 2018
      • Advisory employees · 2 to 7
        Dec 9, 2016 to Mar 2, 2017
      • Employees · 7 to 8
        Dec 9, 2016 to Mar 2, 2017
      • Discretionary RAUM · $104M to $115M
        Dec 9, 2016 to Mar 2, 2017
      • RAUM · $104M to $115M
        Dec 9, 2016 to Mar 2, 2017
      • Accounts · 7 to 3
        Mar 3, 2015 to Feb 26, 2016
      • Assets in custody · $42.4M to $38.8M
        Mar 3, 2015 to Feb 26, 2016
      • Employees · 10 to 7
        Mar 3, 2015 to Feb 26, 2016
      • Private funds · 2 to 1
        Mar 3, 2015 to Feb 26, 2016
      • Discretionary RAUM · $279M to $104M
        Mar 3, 2015 to Feb 26, 2016
      Signals
      4 dated events
      • C••••••••• C•••••• reported RAUM $441.7M, up 93% from $229.0M (2019-09-04 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • C••••••••• C•••••• reported RAUM $229.0M, down 41% from $391.0M (2018-04-05 to 2019-01-24)
        Jan 24, 2019 · RAUM change · derived
      • C••••••••• C•••••• reported RAUM $391.0M, up 239% from $115.2M (2017-03-02 to 2018-02-27)
        Feb 27, 2018 · RAUM change · derived
      • C••••••••• C•••••• filed its initial SEC registration (Form ADV)
        Jun 14, 2012 · First SEC registration · 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