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Former SEC-registered adviser

M••••• A••• I••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 156714SEC 801-73170IAPD
Latest filing Mar 29, 2018
First filing on the tape Feb 7, 2012 · 9 filings
RAUM
$2.4B
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
15
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$2.4B gross assets
History
9 filings and snapshots on the tape
RAUM$2.4B as of Mar 29, 2018
Feb 26, 2013$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Feb 26, 20130 then
Employees (5.A)15 as of Mar 29, 2018
Feb 26, 201312 then
Private funds1 as of Mar 29, 2018
Feb 26, 20131 then
RAUM -18% over the last fiscal year+0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$601MderivedRAUM 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
-18%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
yesreportedItem 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)
  • 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)
  • 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$2.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••• A••• P••••••• M••••• F•••• L•••Hedge Fund$2.4B247Feb 7, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• A•••• D•••• · Chief Financial Officercontrol
        since 01/2014 · owns less than 5%
      • J••••••• T••••••• J•••• · Managing Partnercontrol
        since 02/2007 · owns 25% to 50%
      • M•••••••• R•••••• S•••• · Managing Partnercontrol
        since 02/2007 · owns 50% to 75%
      • S•••••••• L••••• T••••• · Chief Compliance Officercontrol
        since 02/2015 · owns less than 5%
      • J••••••• T••••••• J•••• · Membercontrol
        since 02/2007 · owns 25% to 50% of M••••• A••• I••••••••• G•• L••
      • M•••••••• R•••••• S•••• · Membercontrol
        since 02/2007 · owns 50% to 75% of M••••• A••• I••••••••• G•• L••
      Entity owners
      • M••••• A••• I••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • M••••• A••• P••••••• 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 · 11 to 10
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 19 to 15
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.9B to $2.4B
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2403914781.0
        Mar 29, 2017 to Mar 29, 2018
      • RAUM · $2.9B to $2.4B
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 18 to 19
        Mar 28, 2016 to Mar 29, 2017
      • Discretionary RAUM · $3.4B to $2.9B
        Mar 28, 2016 to Mar 29, 2017
      • RAUM · $3.4B to $2.9B
        Mar 28, 2016 to Mar 29, 2017
      • Advisory employees · 10 to 11
        Mar 9, 2015 to Mar 28, 2016
      • Employees · 17 to 18
        Mar 9, 2015 to Mar 28, 2016
      • Discretionary RAUM · $2.3B to $3.4B
        Mar 9, 2015 to Mar 28, 2016
      • RAUM · $2.3B to $3.4B
        Mar 9, 2015 to Mar 28, 2016
      • Advisory employees · 9 to 10
        Feb 14, 2014 to Mar 5, 2015
      • Employees · 15 to 17
        Feb 14, 2014 to Mar 5, 2015
      • Discretionary RAUM · $2.0B to $2.3B
        Feb 14, 2014 to Mar 5, 2015
      • RAUM · $2.0B to $2.3B
        Feb 14, 2014 to Mar 5, 2015
      • Advisory employees · 8 to 9
        Feb 26, 2013 to Feb 14, 2014
      • Assets in custody · unset to 0.0
        Feb 26, 2013 to Feb 14, 2014
      • Custody of client assets · false to true
        Feb 26, 2013 to Feb 14, 2014
      • Employees · 12 to 15
        Feb 26, 2013 to Feb 14, 2014
      • Discretionary RAUM · $1.9B to $2.0B
        Feb 26, 2013 to Feb 14, 2014
      • RAUM · $1.9B to $2.0B
        Feb 26, 2013 to Feb 14, 2014
      • Related bank · false to true
        Feb 26, 2013 to Feb 14, 2014
      • Advisory employees · unset to 8.0
        Feb 7, 2012 to Feb 26, 2013
      • BD registered reps · unset to 0.0
        Feb 7, 2012 to Feb 26, 2013
      • Employees · unset to 12.0
        Feb 7, 2012 to Feb 26, 2013
      • State-registered IARs · unset to 0.0
        Feb 7, 2012 to Feb 26, 2013
      • Discretionary RAUM · $1.2B to $1.9B
        Feb 7, 2012 to Feb 26, 2013
      • RAUM · $1.2B to $1.9B
        Feb 7, 2012 to Feb 26, 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
      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