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Former SEC-registered adviser

P••••••• G••••• I••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 156354SEC 801-72342IAPD
Latest filing Mar 30, 2015
First filing on the tape Jan 10, 2012 · 6 filings
RAUM
$309M
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
18
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
9
$332M gross assets
History
6 filings and snapshots on the tape
RAUM$309M as of Mar 30, 2015
Mar 28, 2012$354M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 20, 20130 then
Employees (5.A)18 as of Mar 30, 2015
Mar 20, 201319 then
Private funds9 as of Mar 30, 2015
Mar 28, 20129 then
RAUM -5.1% over the last fiscal year-4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$34.3MderivedRAUM 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
-5.1%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
$309M, 9 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$309M for 9 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• G••••• F•••• I••••• A••••••• R••••• M••••• F•••• L•••Hedge Fund$144M2Jan 10, 2012
      P••••••• G••••• F•••• I••••• O••••••••• M••••• F•••• L•••Hedge Fund$99.3M2Jan 10, 2012
      P••••••• U••• H••• Y•••• F•••• I••••• M••••• F•••• L•••Other Private Fund$59.1M2Jan 10, 2012
      P••••••• M•••• S••••••• C••• P••• B••• F•••• L•••Other Private Fund$7.6M2Jan 10, 2012
      P••••••• M•••• S••••••• S•••• D••••••• B••• F•••• L•••Other Private Fund$7.3M2Jan 10, 2012
      P••••••• G••••• F•••• I••••• A••••••• R••••• ••••••••• F•••• L••• • A•• C••••Hedge Fund$7.1M1Jan 10, 2012
      P••••••• G••••• F•••• I••••• O••••••••• ••••••••• F•••• L••• • A•• C••••Hedge Fund$4.7M1Jan 10, 2012
      P••••••• U••• H••• Y•••• F•••• I••••• ••••••••• F•••• L••• • A•• C••••Other Private Fund$3.1M1Jan 10, 2012
      P••••••• G••••• F•••• I••••• O••••••••• •••••••• F•••• L•••Hedge Fund$4,88816Jan 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••••• E••••••• · Chief Operating Officer; Managing Membercontrol
        since 01/2011 · owns 5% to 10%
      • M•••• P•••••• A•• · Chief Compliance Officercontrol
        since 01/2011 · owns less than 5%
      • S•••••••• A•••••• J••• · Chief Executive Officer; Managing Membercontrol
        since 01/2011 · owns 10% to 25%
      • S••••• T•••• K••• · Director; Managing Membercontrol
        since 03/2011 · owns less than 5%
      • A••••••••• M••• · Director, Managing Member
        since 11/2013 · owns less than 5%
      Entity owners
      • N••••••• A•••••••• B••• L•••••• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • M•• I••••••••• L••••••
        investment advisern
      • M•• L••••••
        investment adviserreal estaten
      • N••••••• A•••••••• B••• L••••••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 9
        Mar 14, 2014 to Mar 30, 2015
      • Advisory employees · 15 to 11
        Mar 14, 2014 to Mar 30, 2015
      • Assets in custody · $325B to $309M
        Mar 14, 2014 to Mar 30, 2015
      • Employees · 19 to 18
        Mar 14, 2014 to Mar 30, 2015
      • Discretionary RAUM · $325M to $309M
        Mar 14, 2014 to Mar 30, 2015
      • RAUM · $325M to $309M
        Mar 14, 2014 to Mar 30, 2015
      • Advisory employees · 19 to 15
        Apr 17, 2013 to Mar 14, 2014
      • BD registered reps · 1 to 0
        Apr 17, 2013 to Mar 14, 2014
      • Assets in custody · $374M to $325B
        Apr 17, 2013 to Mar 14, 2014
      • Discretionary RAUM · $374M to $325M
        Apr 17, 2013 to Mar 14, 2014
      • RAUM · $374M to $325M
        Apr 17, 2013 to Mar 14, 2014
      • Accounts · 9 to 8
        Mar 28, 2012 to Mar 20, 2013
      • Advisory employees · unset to 19.0
        Mar 28, 2012 to Mar 20, 2013
      • BD registered reps · 0 to 1
        Mar 28, 2012 to Mar 20, 2013
      • Assets in custody · $354M to $374M
        Mar 28, 2012 to Mar 20, 2013
      • Employees · unset to 19.0
        Mar 28, 2012 to Mar 20, 2013
      • State-registered IARs · unset to 0.0
        Mar 28, 2012 to Mar 20, 2013
      • Discretionary RAUM · $354M to $374M
        Mar 28, 2012 to Mar 20, 2013
      • RAUM · $354M to $374M
        Mar 28, 2012 to Mar 20, 2013
      • Related broker-dealer · true to false
        Mar 28, 2012 to Mar 20, 2013
      • Assets in custody · $272M to $354M
        Jan 10, 2012 to Mar 28, 2012
      • Discretionary RAUM · $272M to $354M
        Jan 10, 2012 to Mar 28, 2012
      • RAUM · $272M to $354M
        Jan 10, 2012 to Mar 28, 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