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Former SEC-registered adviser

H•••• C•••••• P•••••••• L••

Former SEC-registered adviserLondon, CRD 153111SEC 801-71630IAPD
Latest filing Jun 7, 2016
First filing on the tape Dec 15, 2011 · 9 filings
RAUM
$60.0M
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
11
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$60.0M as of Dec 15, 2015
Dec 15, 2011$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 15, 2015
Dec 17, 20120 then
Employees (5.A)11 as of Dec 15, 2015
Dec 17, 201210 then
Private funds: no history
RAUM -90% over the last fiscal year-60% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 7, 2016; 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
$60.0MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-90%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
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
1reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• M••••• · Partnercontrol
        since 07/2006 · owns 10% to 25%
      • R•••••••• S•••••• E••••• · Partner/Chief Compliance Officercontrol
        since 10/2006 · owns 10% to 25%
      • C•••••••• B••••• A•••••••• C••••• · Shareholdercontrol
        since 11/2013 · owns 75% or more of C••••• C•••••••
      Entity owners
      • C••••• C••••••• · Partner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 1
        Dec 22, 2014 to Dec 15, 2015
      • Discretionary RAUM · $601M to $60.0M
        Dec 22, 2014 to Dec 15, 2015
      • RAUM · $601M to $60.0M
        Dec 22, 2014 to Dec 15, 2015
      • Accounts · 8 to 6
        Dec 11, 2013 to Dec 22, 2014
      • Advisory activities · 3 to 2
        Dec 11, 2013 to Dec 22, 2014
      • Discretionary RAUM · $767M to $601M
        Dec 11, 2013 to Dec 22, 2014
      • RAUM · $767M to $601M
        Dec 11, 2013 to Dec 22, 2014
      • Accounts · 12 to 8
        Dec 17, 2012 to Dec 11, 2013
      • Employees · 10 to 11
        Dec 17, 2012 to Dec 11, 2013
      • Discretionary RAUM · $948M to $767M
        Dec 17, 2012 to Dec 11, 2013
      • RAUM · $948M to $767M
        Dec 17, 2012 to Dec 11, 2013
      • Accounts · 14 to 12
        Aug 15, 2012 to Dec 17, 2012
      • Advisory employees · unset to 4.0
        Aug 15, 2012 to Dec 17, 2012
      • Employees · unset to 10.0
        Aug 15, 2012 to Dec 17, 2012
      • State-registered IARs · unset to 0.0
        Aug 15, 2012 to Dec 17, 2012
      • Discretionary RAUM · $1.4B to $948M
        Aug 15, 2012 to Dec 17, 2012
      • RAUM · $1.4B to $948M
        Aug 15, 2012 to Dec 17, 2012
      • Advisory activities · 2 to 3
        Apr 10, 2012 to Jun 12, 2012
      • Discretionary RAUM · $1.2B to $1.4B
        Dec 15, 2011 to Apr 10, 2012
      • RAUM · $1.2B to $1.4B
        Dec 15, 2011 to Apr 10, 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
      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