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Former SEC-registered adviser

P•• R••••••• C•••••• A•••••••

Former SEC-registered adviserNew York, New YorkCRD 152917SEC 801-71145IAPD
Legal name P•• R••••••• L••
Latest filing Mar 8, 2018
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$52.2M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
7.1%
$3.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$48.0M gross assets
History
12 filings and snapshots on the tape
RAUM$52.2M as of Mar 8, 2018
Mar 30, 2012$224M then
HNW client RAUM: $3.7M
State-registered IARs (5.B.3)0 as of Mar 8, 2018
Mar 22, 20130 then
Employees (5.A)4 as of Mar 8, 2018
Mar 22, 20137 then
Private funds2 as of Mar 8, 2018
Mar 30, 20123 then
RAUM -17% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 8, 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
$1.2MderivedHNW RAUM over HNW clients
Average account
$6.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
-17%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • 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$48.0M92%
  • High-net-worth individuals$3.7M7.1%
  • Corporations and businesses$536,4281.0%
Individual clients
n/areported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• M•••• S•••••••• L•••Other Private Fund$34.3M24Mar 30, 2012
      P•• M•••• S•••••••• L•••Other Private Fund$13.7M4Mar 30, 2012
      P•• S•••••• O••••••••• L•••no longer reportedHedge Fund$9.9M12Mar 30, 2012
      G•••••••• R••• B••••••• F•••• L•no longer reportedHedge Fund$2.7M1Jul 3, 2014
      G•••••••• R••• M••••• F•••• L•no longer reportedHedge Fund$00Jul 3, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• A•••••• H••••• · Managing Director And Chief Compliance Officercontrol
        since 01/2010 · owns less than 5%
      • L•••• J•••••• P•••• · Managing Directorcontrol
        since 01/2010 · owns less than 5%
      • H••••••••• A•••••• H••••• · Presidentcontrol
        since 05/1994 · owns 75% or more of A••• H••••• • C••• I•••
      • L•••• J•••••• P•••• · Managercontrol
        since 11/2009 · owns 75% or more of N••••••• S••• C•••••• H••••••• L••
      Entity owners
      • A••• H••••• • C•• I••• · Member
        direct · owns 50% to 75%
      • N••••••• S••• C•••••• H••••••• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • A••• H••••• • C••• I•••
        investment advisern
      • N••••••• S••• C•••••• H••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 8
        Feb 24, 2017 to Mar 8, 2018
      • BD registered reps · 1 to 0
        Feb 24, 2017 to Mar 8, 2018
      • Corporate clients · unset to 1.0
        Feb 24, 2017 to Mar 8, 2018
      • HNW clients · unset to 3.0
        Feb 24, 2017 to Mar 8, 2018
      • Pooled vehicle clients · unset to 2.0
        Feb 24, 2017 to Mar 8, 2018
      • Other offices · unset to 0.0
        Feb 24, 2017 to Mar 8, 2018
      • Discretionary RAUM · $62.7M to $50.7M
        Feb 24, 2017 to Mar 8, 2018
      • HNW RAUM · unset to 3709895.0
        Feb 24, 2017 to Mar 8, 2018
      • Non-discretionary RAUM · $0 to $1.5M
        Feb 24, 2017 to Mar 8, 2018
      • Pooled vehicle RAUM · unset to 47954512.0
        Feb 24, 2017 to Mar 8, 2018
      • RAUM · $62.7M to $52.2M
        Feb 24, 2017 to Mar 8, 2018
      • Employees · 5 to 4
        May 5, 2016 to Feb 23, 2017
      • Discretionary RAUM · $76.6M to $62.7M
        May 5, 2016 to Feb 23, 2017
      • RAUM · $76.6M to $62.7M
        May 5, 2016 to Feb 23, 2017
      • Advisory activities · 2 to 3
        Mar 31, 2015 to Mar 28, 2016
      • BD registered reps · 0 to 1
        Mar 31, 2015 to Mar 28, 2016
      • Private funds · 4 to 2
        Mar 31, 2015 to Mar 28, 2016
      • Discretionary RAUM · $90.8M to $76.6M
        Mar 31, 2015 to Mar 28, 2016
      • RAUM · $90.8M to $76.6M
        Mar 31, 2015 to Mar 28, 2016
      • Accounts · 5 to 4
        Sep 5, 2014 to Mar 31, 2015
      • Advisory activities · 3 to 2
        Sep 5, 2014 to Mar 31, 2015
      • Discretionary RAUM · $106M to $90.8M
        Sep 5, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $655M to $0
        Sep 5, 2014 to Mar 31, 2015
      • RAUM · $761M to $90.8M
        Sep 5, 2014 to Mar 31, 2015
      • Accounts · 6 to 5
        Jul 3, 2014 to Sep 5, 2014
      • Discretionary RAUM · $127M to $106M
        Jul 3, 2014 to Sep 5, 2014
      • RAUM · $782M to $761M
        Jul 3, 2014 to Sep 5, 2014
      • Private funds · 2 to 4
        Mar 27, 2014 to Jul 3, 2014
      • Discretionary RAUM · $127M to $127M
        Mar 27, 2014 to Jul 3, 2014
      • RAUM · $782M to $782M
        Mar 27, 2014 to Jul 3, 2014
      • Advisory employees · 4 to 3
        May 10, 2013 to Mar 27, 2014
      • BD registered reps · 1 to 0
        May 10, 2013 to Mar 27, 2014
      • Employees · 7 to 5
        May 10, 2013 to Mar 27, 2014
      • Discretionary RAUM · $136M to $127M
        May 10, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $351M to $655M
        May 10, 2013 to Mar 27, 2014
      • RAUM · $487M to $782M
        May 10, 2013 to Mar 27, 2014
      • Discretionary RAUM · $112M to $136M
        Mar 22, 2013 to May 10, 2013
      • Non-discretionary RAUM · $15.5M to $351M
        Mar 22, 2013 to May 10, 2013
      • RAUM · $128M to $487M
        Mar 22, 2013 to May 10, 2013
      • Accounts · 7 to 6
        Mar 30, 2012 to Mar 22, 2013
      Signals
      No event on the tape.
      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