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A••••••••• F••••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $28.8M of regulatory assets.

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

Last reported RAUM
$28.8M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-67%
Form ADV, consecutive annual filings
Private clients
15% of RAUM, $4.2M
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 155600 · SEC 801-79380 · 14 filingsShow
CRD 155600SEC 801-79380First filing on the tape Mar 11, 2014, latest Jul 20, 2020IAPD
RAUM
$28.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
15%
$4.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$24.6M gross assets
History
14 filings and snapshots on the tape
RAUM$119M as of Mar 26, 2020
Mar 27, 2015$21.9M then
HNW client RAUM$3.0M as of Mar 26, 2020
Mar 29, 2018$2.5M then
State-registered IARs (5.B.3)3 as of Mar 26, 2020
Mar 27, 20152 then
Employees (5.A)3 as of Mar 26, 2020
Mar 27, 20152 then
Private funds2 as of Mar 26, 2020
Mar 27, 20151 then
RAUM -67% over the last fiscal year-25% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Jul 20, 2020; every figure names its basis
RAUM per advisor
$9.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$594,657derivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+39%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • 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)
  • 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$24.6M85%
  • High-net-worth individuals$3.0M10%
  • Individuals$1.2M4.3%
Individual clients
5reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
19reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••••• D•••••••• R••••• F•••• L•Hedge Fund$21.4M2Jul 2, 2014
      A••••••••• 7•• F•••• L•Hedge Fund$3.2M5Mar 29, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• M•••••••• C•••• · Managercontrol
        since 10/2010 · owns less than 5%
      • L•••••• D••••• M•••••• · Corporate Secretarycontrol
        since 04/2020 · owns less than 5%
      • M•••••• M•••• R•••••• · Chief Compliance Officercontrol
        since 04/2020 · owns less than 5%
      Entity owners
      • A••••••••• L••• · Sole Member
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      • A••••••••• G•• L••
        pooled vehicle sponsory
      • A••••••••• P•••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 20 to 19
        Apr 29, 2020 to May 12, 2020
      • HQ city · STAMFORD to NEW YORK
        Apr 29, 2020 to May 12, 2020
      • HQ state · CT to NY
        Apr 29, 2020 to May 12, 2020
      • Discretionary RAUM · $119M to $28.8M
        Apr 29, 2020 to May 12, 2020
      • RAUM · $119M to $28.8M
        Apr 29, 2020 to May 12, 2020
      • Related adviser · false to true
        Apr 29, 2020 to May 12, 2020
      • Accounts · 19 to 20
        Mar 28, 2019 to Mar 26, 2020
      • State-registered IARs · 2 to 3
        Mar 28, 2019 to Mar 26, 2020
      • Discretionary RAUM · $86.0M to $119M
        Mar 28, 2019 to Mar 26, 2020
      • HNW RAUM · $2.1M to $3.0M
        Mar 28, 2019 to Mar 26, 2020
      • Individual RAUM · $904,130 to $1.2M
        Mar 28, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $17.0M to $24.6M
        Mar 28, 2019 to Mar 26, 2020
      • RAUM · $86.0M to $119M
        Mar 28, 2019 to Mar 26, 2020
      • Advisory activities · 4 to 3
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $91.6M to $86.0M
        Mar 29, 2018 to Mar 28, 2019
      • HNW RAUM · $2.5M to $2.1M
        Mar 29, 2018 to Mar 28, 2019
      • Individual RAUM · $886,239 to $904,130
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $20.2M to $17.0M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $91.6M to $86.0M
        Mar 29, 2018 to Mar 28, 2019
      • Accounts · 18 to 19
        Mar 29, 2017 to Mar 29, 2018
      • HNW clients · unset to 5.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual clients · unset to 5.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 29, 2017 to Mar 29, 2018
      • State-registered IARs · 1 to 2
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $67.0M to $91.6M
        Mar 29, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 2541390.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 886239.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 20193568.0
        Mar 29, 2017 to Mar 29, 2018
      • RAUM · $67.0M to $91.6M
        Mar 29, 2017 to Mar 29, 2018
      • Accounts · 16 to 18
        Mar 30, 2016 to Mar 29, 2017
      • Advisory employees · 2 to 3
        Mar 30, 2016 to Mar 29, 2017
      • Employees · 2 to 3
        Mar 30, 2016 to Mar 29, 2017
      • State-registered IARs · 2 to 1
        Mar 30, 2016 to Mar 29, 2017
      • Private funds · 1 to 2
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $42.7M to $67.0M
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $42.7M to $67.0M
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $21.9M to $42.7M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $21.9M to $42.7M
        Mar 27, 2015 to Mar 30, 2016
      • Advisory activities · 5 to 4
        Aug 1, 2014 to Mar 27, 2015
      Signals
      3 dated events
      • ••• Locked
        Apr 29, 2020 · Control person joined · fact
      • ••• Locked
        Apr 29, 2020 · Control person joined · fact
      • ••• Locked
        Mar 11, 2014 · 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.
      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