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V•••••• B•••• C•••••• P••••••• L••

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

Former SEC-registered adviser, based in New York, New York, reporting $863M of regulatory assets.

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

As of 2016-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $863M
RAUM change, 1 year: -13%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2016-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 30 Mar 2016, RAUM $987M to $863M (-12.6%) on the Form ADV filed 30 Mar 2016, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 156606 · SEC 801-72195 · 6 filingsShow

CRD 156606SEC 801-72195First filing on the tape Mar 14, 2012, latest Mar 30, 2016IAPD

RAUM

$863M

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

9 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$60.0M gross assets

History

6 filings and snapshots on the tape

RAUM -20% a year over three years · the tape starts Mar 14, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$863M as of Mar 30, 2016

Mar 14, 2012$936M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Mar 30, 2016

Apr 1, 20131 then

Employees (5.A)13 as of Mar 30, 2016

Apr 1, 201311 then

Private funds1 as of Mar 30, 2016

Mar 14, 20121 then

RAUM -13% over the last fiscal year-20% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 30, 2016; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $863MderivedRAUM 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: $144MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 13.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: -13%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 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 vehicles, otherreportedItem 5.G
Custody: $60.0M, 2 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

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: 6reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $60.0M for 2 clientsreported
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 departure Every 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

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••• •••• L••no longer reported	Hedge Fund	$234M	7	Apr 1, 2013
V•••••• B•••• M••••• F••• L••	Hedge Fund	$60.0M	23	Mar 14, 2012

Owners and control persons

Schedule A and B, latest filing

B••••• G•••••• T••••• · M•••••• M••••••• P•••••• O• V•••••• B•••• C•••••• P••••••• L•• A•• V•••••• B•••• A••••••••• L••control
since 03/2009 · owns 50% to 75%
L•••••• M••••••• A••• · C•••• O•••••••• O••••••• C•••• C••••••••• O•••••• O• V•••••• B•••• C•••••• P••••••• L••control
since 04/2009 · owns less than 5%
V••••••• R•••••• A•••••• · M•••••• M••••••• P•••••• O• V•••••• B•••• C•••••• P••••••• L•• A•• V•••••• B•••• A••••••••• L••control
since 03/2009 · owns 50% to 75%

Related persons

Schedule D 7.A

V•••••• B•••• A••••••••• L••
investment adviserbankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

Dallas, TX

What changed

consecutive filings, newest first

Advisory employees · 7 to 9
Mar 26, 2015 to Mar 30, 2016
Assets in custody · $133M to $60.0M
Mar 26, 2015 to Mar 30, 2016
Employees · 11 to 13
Mar 26, 2015 to Mar 30, 2016
Discretionary RAUM · $987M to $863M
Mar 26, 2015 to Mar 30, 2016
RAUM · $987M to $863M
Mar 26, 2015 to Mar 30, 2016

Full history · 27 changes

Accounts · 7 to 6
Mar 28, 2014 to Mar 26, 2015
Advisory employees · 8 to 7
Mar 28, 2014 to Mar 26, 2015
Assets in custody · $250M to $133M
Mar 28, 2014 to Mar 26, 2015
Discretionary RAUM · $1.6B to $987M
Mar 28, 2014 to Mar 26, 2015
RAUM · $1.6B to $987M
Mar 28, 2014 to Mar 26, 2015
Advisory activities · 1 to 2
Sep 26, 2013 to Mar 28, 2014
Assets in custody · $274M to $250M
Sep 26, 2013 to Mar 28, 2014
Discretionary RAUM · $1.9B to $1.6B
Sep 26, 2013 to Mar 28, 2014
RAUM · $1.9B to $1.6B
Sep 26, 2013 to Mar 28, 2014
Related bank · false to true
Sep 26, 2013 to Mar 28, 2014
Assets in custody · $529M to $274M
Apr 1, 2013 to Sep 26, 2013
Private funds · 2 to 1
Apr 1, 2013 to Sep 26, 2013
Discretionary RAUM · $1.7B to $1.9B
Apr 1, 2013 to Sep 26, 2013
RAUM · $1.7B to $1.9B
Apr 1, 2013 to Sep 26, 2013
Accounts · 6 to 7
Mar 14, 2012 to Apr 1, 2013
Advisory employees · unset to 8.0
Mar 14, 2012 to Apr 1, 2013
Assets in custody · $175M to $529M
Mar 14, 2012 to Apr 1, 2013
Employees · unset to 11.0
Mar 14, 2012 to Apr 1, 2013
State-registered IARs · unset to 1.0
Mar 14, 2012 to Apr 1, 2013
Private funds · 1 to 2
Mar 14, 2012 to Apr 1, 2013
Discretionary RAUM · $936M to $1.7B
Mar 14, 2012 to Apr 1, 2013
RAUM · $936M to $1.7B
Mar 14, 2012 to Apr 1, 2013

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

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