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E•••• L••• C••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $651M of regulatory assets.

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

Last reported RAUM
$651M
Form ADV
RAUM change, 1 year
-10.0%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 13 Mar 2015, RAUM $723M to $651M (-10.0%) on the Form ADV filed 13 Mar 2015.

Every filed figure, and the identifiersCRD 156401 · SEC 801-73493 · 5 filingsShow
CRD 156401SEC 801-73493First filing on the tape Feb 13, 2012, latest Mar 13, 2015IAPD
RAUM
$651M
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
Not computed
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$651M gross assets
History
5 filings and snapshots on the tape

RAUM -10.0% over the last fiscal year · the tape starts Feb 13, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$651M as of Mar 13, 2015
Mar 27, 2013$211M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2015
Mar 27, 20130 then
Employees (5.A)5 as of Mar 13, 2015
Mar 27, 20138 then
Private funds1 as of Mar 13, 2015
Mar 27, 20131 then
RAUM -10.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2015; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$217MderivedRAUM 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
-10.0%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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
3reported
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
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••• L••• M••••• F•••• L•••Hedge Fund$11.0M45Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• J••• B•••••• · Chief Compliance Officercontrol
        since 03/2015 · owns less than 5%
      • N••••••••• G••••••• S•••••• · Managing Membercontrol
        since 02/2010 · owns 75% or more
      Related persons
      Schedule D 7.A
      • E•••• L••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Mar 24, 2014 to Mar 13, 2015
      • Employees · 8 to 5
        Mar 24, 2014 to Mar 13, 2015
      • Discretionary RAUM · $723M to $651M
        Mar 24, 2014 to Mar 13, 2015
      • RAUM · $723M to $651M
        Mar 24, 2014 to Mar 13, 2015
      • Discretionary RAUM · $211M to $723M
        Aug 19, 2013 to Mar 24, 2014
      Full history · 14 changes
      • RAUM · $211M to $723M
        Aug 19, 2013 to Mar 24, 2014
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Mar 27, 2013
      • Advisory employees · unset to 4.0
        Feb 13, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Mar 27, 2013
      • Assets in custody · 44465873.0 to unset
        Feb 13, 2012 to Mar 27, 2013
      • Custody of client assets · true to false
        Feb 13, 2012 to Mar 27, 2013
      • Employees · unset to 8.0
        Feb 13, 2012 to Mar 27, 2013
      • Discretionary RAUM · $205M to $211M
        Feb 13, 2012 to Mar 27, 2013
      • RAUM · $205M to $211M
        Feb 13, 2012 to Mar 27, 2013
      Signals
      1 dated events
      • ••• Locked
        Sep 2, 2015 · ria registration change · 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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