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A•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Southport, Connecticut

Former SEC-registered adviser, based in Southport, Connecticut, reporting $2.7B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$2.7B
Form ADV
RAUM change, 1 year
+8.7%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 30 Mar 2017, RAUM $2.45B to $2.66B (+8.7%) on the Form ADV filed 30 Mar 2017.

Every filed figure, and the identifiersCRD 152961 · SEC 801-73236 · 13 filingsShow
CRD 152961SEC 801-73236First filing on the tape Feb 9, 2012, latest Mar 30, 2017IAPD
RAUM
$2.7B
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
Not computed
derived; firm RAUM over IAPD count
Employees
22
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape

RAUM -14% a year over three years · the tape starts Feb 9, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$2.7B as of Mar 30, 2017
Mar 28, 2013$4.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)22 as of Mar 30, 2017
Mar 28, 201353 then
Private funds2 as of Mar 31, 2014
Mar 28, 20132 then
RAUM +8.7% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$380MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+8.7%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 pooled vehiclesreportedItem 5.G
Custody
$1.4B, 3 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)
  • 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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••••• M••••• C••••••••• F••• I• L••no longer reportedHedge Fund$2.3B156Feb 9, 2012
      P••••• A•••••••• L•••no longer reportedHedge Fund$101M15Feb 9, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• A•••••• J••• · Chairman And Chief Executive Officercontrol
        since 12/2009 · owns less than 5%
      • H•••• A•••••• J••• · Membercontrol
        since 12/2009 · owns 75% or more of A•• C•••••• L••
      • A•••••• J••• · Vice President, General Counsel And Secretary
        since 04/2012 · owns less than 5%
      • C••••••••• M••••••• N••••••• · Executive Vice President And Controller
        since 12/2009 · owns less than 5%
      • D•• G•••••• G••••• · Executive Vice President, Operations, Risk Management And Technology
        since 01/2012 · owns less than 5%
      All 6 control persons
      • P••••••• V•••• · Chief Compliance Officer
        since 04/2012 · owns less than 5%
      Entity owners
      • A•••••••• H••••••• L•• · Member
        direct · owns 75% or more
      • A•• C•••••• L•• · Member
        indirect · owns 75% or more of A•••••••• H••••••• L••
      Related persons
      Schedule D 7.A
      • A•••••••• C••••••••• F••• I• G• L••
        pooled vehicle sponsory
      • A•••••••• F•••• G• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Palm Beach, FL
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 7
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $1.3B to $1.4B
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $2.4B to $2.7B
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $2.4B to $2.7B
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $1.6B to $1.3B
        Apr 30, 2015 to Mar 30, 2016
      Full history · 27 changes
      • Discretionary RAUM · $3.2B to $2.4B
        Apr 30, 2015 to Mar 30, 2016
      • RAUM · $3.2B to $2.4B
        Apr 30, 2015 to Mar 30, 2016
      • Assets in custody · $2.0B to $1.6B
        Feb 10, 2015 to Mar 31, 2015
      • Employees · 55 to 22
        Feb 10, 2015 to Mar 31, 2015
      • Private funds · 2 to unset
        Feb 10, 2015 to Mar 31, 2015
      • Discretionary RAUM · $4.1B to $3.2B
        Feb 10, 2015 to Mar 31, 2015
      • RAUM · $4.1B to $3.2B
        Feb 10, 2015 to Mar 31, 2015
      • HQ city · WESTPORT to SOUTHPORT
        Mar 31, 2014 to Feb 10, 2015
      • Advisory employees · 6 to 4
        May 7, 2013 to Mar 31, 2014
      • Assets in custody · $3.0B to $2.0B
        May 7, 2013 to Mar 31, 2014
      • Employees · 53 to 55
        May 7, 2013 to Mar 31, 2014
      • Discretionary RAUM · $4.9B to $4.1B
        May 7, 2013 to Mar 31, 2014
      • RAUM · $4.9B to $4.1B
        May 7, 2013 to Mar 31, 2014
      • Advisory employees · 4 to 6
        Dec 21, 2012 to Mar 28, 2013
      • Assets in custody · $3.2B to $3.0B
        Dec 21, 2012 to Mar 28, 2013
      • Employees · 52 to 53
        Dec 21, 2012 to Mar 28, 2013
      • Discretionary RAUM · $4.8B to $4.9B
        Dec 21, 2012 to Mar 28, 2013
      • RAUM · $4.8B to $4.9B
        Dec 21, 2012 to Mar 28, 2013
      • Advisory employees · unset to 4.0
        May 29, 2012 to Dec 21, 2012
      • BD registered reps · unset to 0.0
        May 29, 2012 to Dec 21, 2012
      • Employees · unset to 52.0
        May 29, 2012 to Dec 21, 2012
      • State-registered IARs · unset to 0.0
        May 29, 2012 to Dec 21, 2012
      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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026