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P••• C•••••• M••••••••• L••

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

Former SEC-registered adviser, based in New York, New York, reporting $182M of regulatory assets.

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

As of 2020-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $182M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -8.6%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2020-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

The filing reports a succession, which is when books, staff and custody relationships move.
2020-03-03
Filed Mar 3, 2020

Every filed figure, and the identifiersCRD 156234 · SEC 801-72446 · 16 filingsShow

CRD 156234SEC 801-72446First filing on the tape Mar 19, 2012, latest Mar 3, 2020IAPD

RAUM

$182M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$182M gross assets

History

16 filings and snapshots on the tape

RAUM$182M as of Mar 3, 2020

Mar 19, 2012$192M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 3, 2020

Mar 28, 20130 then

Employees (5.A)10 as of Mar 3, 2020

Mar 28, 201312 then

Private funds2 as of Mar 3, 2020

Mar 19, 20122 then

RAUM -8.6% over the last fiscal year-22% a year over threeIARs 0 to 0offices 3 to 1

Practice profile

derived from the filing of Mar 3, 2020; 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: $30.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -8.6%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: $182M, 6 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)
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$182M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $182M for 6 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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G•••••••• I••• · Chief Risk Officercontrol
since 03/2015 · owns less than 5%
J••••• P••• · Chief Executive Officer/Managing Membercontrol
since 02/2008 · owns 75% or more
B•••••• W•••• C••••••••• · Chief Compliance Officer
since 02/2018 · owns less than 5%

Related persons

Schedule D 7.A

P••• E••••••• M•••••• M•••• F••• G•• L•••
bankpooled vehicle sponsorn
P••• E••••••••• V•••• F••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

Shanghai, China4 employees

What changed

consecutive filings, newest first

Advisory employees · 6 to 7
Oct 15, 2019 to Mar 3, 2020
Assets in custody · $199M to $182M
Oct 15, 2019 to Mar 3, 2020
Employees · 13 to 10
Oct 15, 2019 to Mar 3, 2020
HQ city · GEORGETOWN, GRAND CAYMAN to NEW YORK
Oct 15, 2019 to Mar 3, 2020
HQ state · unset to NY
Oct 15, 2019 to Mar 3, 2020
Other offices · 3 to 1
Oct 15, 2019 to Mar 3, 2020
Organization form · Other (specify) to Corporation
Oct 15, 2019 to Mar 3, 2020
Discretionary RAUM · $199M to $182M
Oct 15, 2019 to Mar 3, 2020
Pooled vehicle RAUM · $199M to $182M
Oct 15, 2019 to Mar 3, 2020
RAUM · $199M to $182M
Oct 15, 2019 to Mar 3, 2020
Succession · false to true
Oct 15, 2019 to Mar 3, 2020
Assets in custody · $350M to $199M
Mar 21, 2018 to Mar 26, 2019
Discretionary RAUM · $350M to $199M
Mar 21, 2018 to Mar 26, 2019
Pooled vehicle RAUM · $350M to $199M
Mar 21, 2018 to Mar 26, 2019
RAUM · $350M to $199M
Mar 21, 2018 to Mar 26, 2019
Pooled vehicle clients · unset to 6.0
Feb 2, 2018 to Mar 21, 2018
Assets in custody · $377M to $350M
Feb 2, 2018 to Mar 21, 2018
Other offices · 2 to 3
Feb 2, 2018 to Mar 21, 2018
Discretionary RAUM · $377M to $350M
Feb 2, 2018 to Mar 21, 2018
Pooled vehicle RAUM · unset to 350239742.0
Feb 2, 2018 to Mar 21, 2018
RAUM · $377M to $350M
Feb 2, 2018 to Mar 21, 2018
Other offices · unset to 2.0
Aug 22, 2017 to Feb 2, 2018
Assets in custody · $320M to $377M
Nov 10, 2016 to Mar 7, 2017
Employees · 10 to 13
Nov 10, 2016 to Mar 7, 2017
Discretionary RAUM · $320M to $377M
Nov 10, 2016 to Mar 7, 2017
RAUM · $320M to $377M
Nov 10, 2016 to Mar 7, 2017
Assets in custody · $234M to $320M
Mar 5, 2015 to Mar 2, 2016
Discretionary RAUM · $234M to $320M
Mar 5, 2015 to Mar 2, 2016
RAUM · $234M to $320M
Mar 5, 2015 to Mar 2, 2016
Advisory employees · 12 to 6
Apr 29, 2014 to Mar 5, 2015
Assets in custody · $311M to $234M
Apr 29, 2014 to Mar 5, 2015
Employees · 12 to 10
Apr 29, 2014 to Mar 5, 2015
Discretionary RAUM · $311M to $234M
Apr 29, 2014 to Mar 5, 2015
RAUM · $311M to $234M
Apr 29, 2014 to Mar 5, 2015
Assets in custody · $231M to $311M
Mar 28, 2013 to Mar 17, 2014
Discretionary RAUM · $231M to $311M
Mar 28, 2013 to Mar 17, 2014
RAUM · $231M to $311M
Mar 28, 2013 to Mar 17, 2014
Advisory employees · unset to 12.0
Apr 30, 2012 to Mar 28, 2013
Assets in custody · $192M to $231M
Apr 30, 2012 to Mar 28, 2013
Custody of client assets · false to true
Apr 30, 2012 to Mar 28, 2013

Signals

3 dated events

••• Locked
Mar 3, 2020 · Succession (Item 4) · fact
••• Locked
Mar 26, 2019 · RAUM change · derived
••• Locked
Mar 26, 2019 · Control person left · inference

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026