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1•• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $99.4M of regulatory assets.

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

Regulatory AUM
$99.4M
Advisors
0
RAUM change, 1 year
-28%
Private clients
0.0%
of RAUM
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: 25 Mar 2026, RAUM $139M to $99.4M (-28.4%) on the Form ADV filed 25 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 154009 · SEC 801-130908 · 25 filingsShow
CRD 154009SEC 801-130908First filing on the tape Nov 7, 2011, latest Mar 25, 2026SEC status approved since Aug 12, 2024IAPD
RAUM
$99.4M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape

RAUM -21% a year over three years · the tape starts Nov 7, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$99.4M as of Mar 25, 2026
Jan 5, 2012$1.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Jan 5, 20120 then
Employees (5.A)8 as of Mar 25, 2026
Apr 23, 20131 then
Private funds1 as of Mar 31, 2025
Mar 30, 20201 then
RAUM -28% over the last fiscal year-21% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$99.4MderivedRAUM 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
$99.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
-28%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 pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% investment companies

The breakdown by client type, and the client counts1 client typesShow
  • Investment companies$99.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bank; 100% of advisors also broker-dealer representativesderived
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      1•• A••••••• F••• L•Hedge Fund$14.5M3Mar 30, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• K••••••• B•••••• · Managing Member And Chief Investment Officercontrol
        since 03/2010 · owns 75% or more
      • K••• K••••• · Chief Compliance Officer And Chief Operating Officer
        since 06/2023 · owns less than 5%
      Related persons
      Schedule D 7.A
      • T••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • business activity changedChange between filings · filing Mar 25, 2026
        advises private funds (Item 7.B): yes on the filing of 2025-03-31, no on the filing of 2026-03-25
        peers: asset managers, under $100M (329)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 31, 2025 to Mar 25, 2026
      • Advisory employees · 5 to 6
        Mar 31, 2025 to Mar 25, 2026
      • Pooled vehicle clients · 1.0 to unset
        Mar 31, 2025 to Mar 25, 2026
      • Employees · 9 to 8
        Mar 31, 2025 to Mar 25, 2026
      • Private funds · 1 to unset
        Mar 31, 2025 to Mar 25, 2026
      Full history · 78 changes
      • Discretionary RAUM · $139M to $99.4M
        Mar 31, 2025 to Mar 25, 2026
      • Pooled vehicle RAUM · 3673772.0 to unset
        Mar 31, 2025 to Mar 25, 2026
      • RAUM · $139M to $99.4M
        Mar 31, 2025 to Mar 25, 2026
      • Financial planning clients · unset to
        Jul 11, 2024 to Mar 31, 2025
      • Discretionary RAUM · $176M to $139M
        Jul 11, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $3.6M to $3.7M
        Jul 11, 2024 to Mar 31, 2025
      • RAUM · $176M to $139M
        Jul 11, 2024 to Mar 31, 2025
      • Discretionary RAUM · $201M to $176M
        May 3, 2023 to Mar 20, 2024
      • Pooled vehicle RAUM · $14.5M to $3.6M
        May 3, 2023 to Mar 20, 2024
      • RAUM · $201M to $176M
        May 3, 2023 to Mar 20, 2024
      • Employees · 7 to 9
        Aug 25, 2022 to Mar 31, 2023
      • Discretionary RAUM · $281M to $201M
        Aug 25, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $18.0M to $14.5M
        Aug 25, 2022 to Mar 31, 2023
      • RAUM · $281M to $201M
        Aug 25, 2022 to Mar 31, 2023
      • Advisory employees · 3 to 5
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 8 to 7
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $254M to $281M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $24.5M to $18.0M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $254M to $281M
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 7 to 8
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $349M to $254M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $52.6M to $24.5M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $349M to $254M
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 1 to 2
        Mar 13, 2019 to Mar 30, 2020
      • Advisory activities · 1 to 2
        Mar 13, 2019 to Mar 30, 2020
      • BD registered reps · 2 to 1
        Mar 13, 2019 to Mar 30, 2020
      • Pooled vehicle clients · unset to 1.0
        Mar 13, 2019 to Mar 30, 2020
      • Employees · 8 to 7
        Mar 13, 2019 to Mar 30, 2020
      • State-registered IARs · 0 to 1
        Mar 13, 2019 to Mar 30, 2020
      • Private funds · unset to 1
        Mar 13, 2019 to Mar 30, 2020
      • Discretionary RAUM · $309M to $349M
        Mar 13, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · unset to 52599965.0
        Mar 13, 2019 to Mar 30, 2020
      • RAUM · $309M to $349M
        Mar 13, 2019 to Mar 30, 2020
      • BD registered reps · 1 to 2
        Jan 29, 2019 to Mar 13, 2019
      • Employees · 7 to 8
        Jan 29, 2019 to Mar 13, 2019
      • State-registered IARs · 1 to 0
        Jan 29, 2019 to Mar 13, 2019
      • Discretionary RAUM · $348M to $309M
        Jan 29, 2019 to Mar 13, 2019
      • RAUM · $348M to $309M
        Jan 29, 2019 to Mar 13, 2019
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $265M to $348M
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $265M to $348M
        Mar 31, 2017 to Mar 29, 2018
      • BD registered reps · 2 to 1
        Mar 30, 2016 to Mar 31, 2017
      • State-registered IARs · 2 to 1
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $338M to $265M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $338M to $265M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 1 to 3
        Mar 31, 2015 to Mar 30, 2016
      • BD registered reps · 1 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 5 to 7
        Mar 31, 2015 to Mar 30, 2016
      • State-registered IARs · 0 to 2
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $375M to $338M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $375M to $338M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 2 to 1
        Mar 21, 2014 to Mar 31, 2015
      • BD registered reps · 0 to 1
        Mar 21, 2014 to Mar 31, 2015
      • Employees · 3 to 5
        Mar 21, 2014 to Mar 31, 2015
      • Discretionary RAUM · $225M to $375M
        Mar 21, 2014 to Mar 31, 2015
      • RAUM · $225M to $375M
        Mar 21, 2014 to Mar 31, 2015
      • Advisory employees · 1 to 2
        May 28, 2013 to Mar 21, 2014
      • Employees · 1 to 3
        May 28, 2013 to Mar 21, 2014
      • Financial planning clients · 1-10 to unset
        May 28, 2013 to Mar 21, 2014
      • Discretionary RAUM · $32.5M to $225M
        May 28, 2013 to Mar 21, 2014
      • RAUM · $32.5M to $225M
        May 28, 2013 to Mar 21, 2014
      • HQ city · unset to NEW YORK
        May 24, 2013 to May 28, 2013
      • HQ state · unset to NY
        May 24, 2013 to May 28, 2013
      • Advisory employees · unset to 1.0
        Jan 5, 2012 to Apr 23, 2013
      • Employees · unset to 1.0
        Jan 5, 2012 to Apr 23, 2013
      • Discretionary RAUM · $1.0M to $32.5M
        Jan 5, 2012 to Apr 23, 2013
      • RAUM · $1.0M to $32.5M
        Jan 5, 2012 to Apr 23, 2013
      • Accounts · unset to 1.0
        Nov 7, 2011 to Jan 5, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 7, 2011 to Jan 5, 2012
      • Financial planning clients · unset to 1-10
        Nov 7, 2011 to Jan 5, 2012
      • Discretionary RAUM · unset to 1000000.0
        Nov 7, 2011 to Jan 5, 2012
      • Non-discretionary RAUM · unset to 0.0
        Nov 7, 2011 to Jan 5, 2012
      • RAUM · unset to 1000000.0
        Nov 7, 2011 to Jan 5, 2012
      Signals
      1 dated events
      • ••• Locked
        Jul 11, 2024 · 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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

      Not yet on record: net advisor flow, 12 months.