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Former SEC-registered adviser

P•••• P•••• C•••••• P•••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 154779SEC 801-72519IAPD
Latest filing Mar 22, 2019
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$4.9M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$4.9M gross assets
History
13 filings and snapshots on the tape
RAUM$4.9M as of Mar 22, 2019
Mar 29, 2012$221M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2019
Mar 29, 20120 then
Employees (5.A)3 as of Mar 22, 2019
Mar 27, 20135 then
Private funds1 as of Mar 22, 2019
Mar 29, 20121 then
RAUM -97% over the last fiscal year-73% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2019; 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
$1.2MderivedRAUM 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
-97%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
$4.9M, 4 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
  • 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
  • Pooled investment vehicles$4.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$4.9M for 4 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• P•••• C•••••• M•••••• L•Hedge Fund$4.9M84Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• A••••••• P•• · Managing Member;control
        since 02/2005 · owns 50% to 75%
      • M••••••• R•••• S••••••••• · Membercontrol
        since 02/2005 · owns 25% to 50%
      • W••••• J•••••• G••••• · Chief Compliance Officer
        since 05/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 2
        Sep 14, 2018 to Mar 22, 2019
      • Assets in custody · $196M to $4.9M
        Sep 14, 2018 to Mar 22, 2019
      • Employees · 6 to 3
        Sep 14, 2018 to Mar 22, 2019
      • Discretionary RAUM · $196M to $4.9M
        Sep 14, 2018 to Mar 22, 2019
      • Pooled vehicle RAUM · $196M to $4.9M
        Sep 14, 2018 to Mar 22, 2019
      • RAUM · $196M to $4.9M
        Sep 14, 2018 to Mar 22, 2019
      • Related adviser · false to true
        Mar 21, 2018 to Sep 14, 2018
      • Related bank · false to true
        Mar 21, 2018 to Sep 14, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 31, 2017 to Mar 21, 2018
      • Assets in custody · $230M to $196M
        Mar 31, 2017 to Mar 21, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 21, 2018
      • Discretionary RAUM · $230M to $196M
        Mar 31, 2017 to Mar 21, 2018
      • Pooled vehicle RAUM · unset to 196300000.0
        Mar 31, 2017 to Mar 21, 2018
      • RAUM · $230M to $196M
        Mar 31, 2017 to Mar 21, 2018
      • Assets in custody · $251M to $230M
        Mar 21, 2016 to Mar 31, 2017
      • Discretionary RAUM · $251M to $230M
        Mar 21, 2016 to Mar 31, 2017
      • RAUM · $251M to $230M
        Mar 21, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 4
        Mar 26, 2015 to Mar 21, 2016
      • Assets in custody · $284M to $251M
        Mar 26, 2015 to Mar 21, 2016
      • Employees · 8 to 6
        Mar 26, 2015 to Mar 21, 2016
      • Discretionary RAUM · $284M to $251M
        Mar 26, 2015 to Mar 21, 2016
      • RAUM · $284M to $251M
        Mar 26, 2015 to Mar 21, 2016
      • Advisory employees · 4 to 5
        Jan 5, 2015 to Mar 24, 2015
      • Assets in custody · $246M to $284M
        Jan 5, 2015 to Mar 24, 2015
      • Employees · 6 to 8
        Jan 5, 2015 to Mar 24, 2015
      • Discretionary RAUM · $246M to $284M
        Jan 5, 2015 to Mar 24, 2015
      • RAUM · $246M to $284M
        Jan 5, 2015 to Mar 24, 2015
      • Assets in custody · $202M to $246M
        Jul 31, 2013 to Mar 26, 2014
      • Discretionary RAUM · $202M to $246M
        Jul 31, 2013 to Mar 26, 2014
      • RAUM · $202M to $246M
        Jul 31, 2013 to Mar 26, 2014
      • Advisory employees · 3 to 4
        Mar 27, 2013 to Jul 31, 2013
      • Assets in custody · $198M to $202M
        Mar 27, 2013 to Jul 31, 2013
      • Employees · 5 to 6
        Mar 27, 2013 to Jul 31, 2013
      • Discretionary RAUM · $198M to $202M
        Mar 27, 2013 to Jul 31, 2013
      • RAUM · $198M to $202M
        Mar 27, 2013 to Jul 31, 2013
      • Advisory employees · unset to 3.0
        Mar 29, 2012 to Mar 27, 2013
      • Assets in custody · $221M to $198M
        Mar 29, 2012 to Mar 27, 2013
      • Employees · unset to 5.0
        Mar 29, 2012 to Mar 27, 2013
      • Discretionary RAUM · $221M to $198M
        Mar 29, 2012 to Mar 27, 2013
      • RAUM · $221M to $198M
        Mar 29, 2012 to Mar 27, 2013
      Signals
      1 dated events
      • ••• Locked
        Mar 22, 2019 · RAUM change · derived
      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