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Former SEC-registered adviser

O•••••• C•••••• M••••••••• S•••

Former SEC-registered adviserParis, CRD 156913SEC 801-72225IAPD
Latest filing May 12, 2015
First filing on the tape Dec 2, 2011 · 12 filings
RAUM
$589M
reported, Item 5.F
Discretionary
80%
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
22
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$8.9M gross assets
History
12 filings and snapshots on the tape
RAUM$589M as of Jun 30, 2014
Jun 29, 2012$580M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2014
Jun 28, 20130 then
Employees (5.A)22 as of Jun 30, 2014
Jun 28, 201323 then
Private funds1 as of Jun 30, 2014
Jun 29, 20121 then
RAUM +13% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 12, 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
$25.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
80%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
+13%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
$468M, 18 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
23reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$468M for 18 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
      O•••••• J••• S••••• F••• L•••Hedge Fund$8.9M1Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• S••••• · Chief Investment Officercontrol
        since 02/2013 · owns less than 5%
      • V•• E••• J••••••• · Co-Chief Executive Officercontrol
        since 02/2013 · owns less than 5%
      • B••••••••• E••• · Chief Compliance Officer
        since 08/2014 · owns less than 5%
      • G••••••• N•••••• · Director
        since 03/2015 · owns less than 5%
      Entity owners
      • A•••••••• C•••••• H••••••• S••••• · Shareholder
        direct · owns 75% or more
      • C•••••••• B••••• C••••••••• · Shareholder
        indirect · owns 75% or more of G••• M••••••••• Ltd
      • G•• I••••••••• M••••••••• L•• · Shareholder
        indirect · owns 75% or more of K•• I••••••••• L••
      • G••• A••••••• L•• · Shareholder
        indirect · owns 75% or more of R••••••• P••• C•••••• L••••••••• S•••
      • G••• M••••••••• · Shareholder
        indirect · owns 75% or more of G••• A••••••• L••
      • K•• I••••••••• L•• · Shareholder
        indirect · owns 75% or more of C•••••••• B••••• C•••••••••
      • O•••• • O•••• •••• L•• · Shareholder
        indirect · owns 25% to 50% of G••• M••••••••• Ltd
      • R••••••• P••• C•••••• L••••••••• S••• · Shareholder
        indirect · owns 75% or more of R••••••• P••• C•••••• O•••••• L••••••••• S•••
      • R••••••• P••• C•••••• O•••••• L••••••••• S••• · Shareholder
        indirect · owns 75% or more of A•••••••• Capital Holding Sas
      • T•• G•••••• T•••• · Shareholder (Trust)
        indirect · owns 75% or more of G•• I••••••••• M••••••••• L••
      • T•• I••• F••••• T•••• · Shareholder (Trust)
        indirect · owns 75% or more of O•••• • O•••• •••• L••
      Related persons
      Schedule D 7.A
      Advisers that list O•••••• C•••••• M••••••••• S••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 22 to 23
        Apr 17, 2014 to Jun 30, 2014
      • Advisory employees · 10 to 8
        Apr 17, 2014 to Jun 30, 2014
      • Assets in custody · $392M to $468M
        Apr 17, 2014 to Jun 30, 2014
      • Employees · 23 to 22
        Apr 17, 2014 to Jun 30, 2014
      • Discretionary RAUM · $392M to $468M
        Apr 17, 2014 to Jun 30, 2014
      • Non-discretionary RAUM · $130M to $120M
        Apr 17, 2014 to Jun 30, 2014
      • RAUM · $522M to $589M
        Apr 17, 2014 to Jun 30, 2014
      • Advisory employees · 7 to 10
        May 13, 2013 to Jun 28, 2013
      • Assets in custody · $384M to $392M
        May 13, 2013 to Jun 28, 2013
      • Employees · 24 to 23
        May 13, 2013 to Jun 28, 2013
      • Discretionary RAUM · $384M to $392M
        May 13, 2013 to Jun 28, 2013
      • Non-discretionary RAUM · $101M to $130M
        May 13, 2013 to Jun 28, 2013
      • RAUM · $485M to $522M
        May 13, 2013 to Jun 28, 2013
      • Advisory employees · unset to 7.0
        Sep 10, 2012 to May 13, 2013
      • Employees · unset to 24.0
        Sep 10, 2012 to May 13, 2013
      • State-registered IARs · unset to 0.0
        Sep 10, 2012 to May 13, 2013
      • Accounts · 21 to 22
        Jun 29, 2012 to Sep 10, 2012
      • Assets in custody · $395M to $384M
        Jun 29, 2012 to Sep 10, 2012
      • Discretionary RAUM · $395M to $384M
        Jun 29, 2012 to Sep 10, 2012
      • Non-discretionary RAUM · $185M to $101M
        Jun 29, 2012 to Sep 10, 2012
      • RAUM · $580M to $485M
        Jun 29, 2012 to Sep 10, 2012
      • Related bank · false to true
        Jun 29, 2012 to Sep 10, 2012
      • Related broker-dealer · false to true
        Jun 29, 2012 to Sep 10, 2012
      • Accounts · 20 to 21
        Apr 17, 2012 to Jun 29, 2012
      • Assets in custody · $372M to $395M
        Apr 17, 2012 to Jun 29, 2012
      • Discretionary RAUM · $372M to $395M
        Apr 17, 2012 to Jun 29, 2012
      • Non-discretionary RAUM · $192M to $185M
        Apr 17, 2012 to Jun 29, 2012
      • RAUM · $564M to $580M
        Apr 17, 2012 to Jun 29, 2012
      • Accounts · 25 to 20
        Dec 2, 2011 to Mar 30, 2012
      • Assets in custody · $747M to $372M
        Dec 2, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 2, 2011 to Mar 30, 2012
      • Private funds · unset to 1
        Dec 2, 2011 to Mar 30, 2012
      • Discretionary RAUM · $747M to $372M
        Dec 2, 2011 to Mar 30, 2012
      • Non-discretionary RAUM · $610M to $192M
        Dec 2, 2011 to Mar 30, 2012
      • RAUM · $1.4B to $564M
        Dec 2, 2011 to Mar 30, 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