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B•• C•••••• L••

Former SEC-registered adviserFormer SEC adviser5 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $997M of regulatory assets.

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

Last reported RAUM
$997M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-44%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 154500 · SEC 801-71720 · 11 filingsShow
CRD 154500SEC 801-71720First filing on the tape Feb 6, 2012, latest Apr 28, 2016IAPD
RAUM
$997M
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
14
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$997M gross assets
History
11 filings and snapshots on the tape
RAUM$997M as of Jan 28, 2016
Feb 6, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 28, 2016
Feb 6, 20120 then
Employees (5.A)14 as of Jan 28, 2016
Mar 20, 201316 then
Private funds5 as of Jan 28, 2016
Feb 6, 20123 then
RAUM -44% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 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
$125MderivedRAUM 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
-44%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
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)
  • 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
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
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
      B•• M••••• F•••• L•••Hedge Fund$726M150Feb 6, 2012
      B••• M•••••• L•••Hedge Fund$147M5Feb 6, 2012
      B•••••• O••••••• F•••••• L••Hedge Fund$62.5M58Aug 28, 2015
      B•• O• M••••• F•••• L•••Hedge Fund$31.6M21Feb 6, 2012
      B•• O• O•• O••••••• F•••••• L••Hedge Fund$30.4M19Aug 28, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • F•••• M••••••• C••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 01/2013 · owns less than 5%
      • T•••••••• M••••••• N••• · Managing Partner And Membercontrol
        since 10/2009 · owns 75% or more
      • R•••••• C••••••••• A••• · Trustee Of N•• I••••••••• T••••
        since 01/2011 · owns less than 5%
      • S••••• J•••• D•••• · Member
        since 10/2009 · owns less than 5%
      Entity owners
      • N•• I••••••••• T•••• · Member
        direct · owns 10% to 25%
      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 · 6 to 8
        Aug 28, 2015 to Jan 28, 2016
      • Employees · 13 to 14
        Aug 28, 2015 to Jan 28, 2016
      • Discretionary RAUM · $1.8B to $997M
        Aug 28, 2015 to Jan 28, 2016
      • RAUM · $1.8B to $997M
        Aug 28, 2015 to Jan 28, 2016
      • Private funds · 3 to 5
        Mar 30, 2015 to Aug 28, 2015
      • Advisory employees · 8 to 7
        Mar 28, 2014 to Mar 30, 2015
      • Employees · 15 to 13
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.9B to $1.8B
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $1.9B to $1.8B
        Mar 28, 2014 to Mar 30, 2015
      • Advisory employees · 7 to 8
        Mar 20, 2013 to Mar 28, 2014
      • Employees · 16 to 15
        Mar 20, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.6B to $1.9B
        Mar 20, 2013 to Mar 28, 2014
      • RAUM · $1.6B to $1.9B
        Mar 20, 2013 to Mar 28, 2014
      • Accounts · 8 to 6
        Jul 17, 2012 to Mar 20, 2013
      • Advisory employees · unset to 7.0
        Jul 17, 2012 to Mar 20, 2013
      • Advisory activities · 2 to 1
        Jul 17, 2012 to Mar 20, 2013
      • Employees · unset to 16.0
        Jul 17, 2012 to Mar 20, 2013
      • Discretionary RAUM · $1.5B to $1.6B
        Jul 17, 2012 to Mar 20, 2013
      • Non-discretionary RAUM · $19.8M to $0
        Jul 17, 2012 to Mar 20, 2013
      • RAUM · $1.5B to $1.6B
        Jul 17, 2012 to Mar 20, 2013
      • Discretionary RAUM · $1.3B to $1.5B
        Apr 10, 2012 to Jul 17, 2012
      • Non-discretionary RAUM · $26.6M to $19.8M
        Apr 10, 2012 to Jul 17, 2012
      • RAUM · $1.3B to $1.5B
        Apr 10, 2012 to Jul 17, 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