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Former SEC-registered adviser

E•• I••••••••• I•••

Former SEC-registered adviserBay Harbor Islands, FloridaCRD 157273SEC 801-74266IAPD
Latest filing Nov 11, 2021
First filing on the tape Feb 15, 2012 · 21 filings
RAUM
$768M
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
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$768M gross assets
History
21 filings and snapshots on the tape
RAUM$750M as of Mar 31, 2021
Apr 1, 2013$6.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Apr 1, 20130 then
Employees (5.A)7 as of Mar 31, 2021
Apr 1, 20133 then
Private funds3 as of Mar 31, 2021
Apr 1, 20137 then
RAUM -12% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 11, 2021; 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
$256MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-14%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
$46.2M, 49 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)
  • 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$768M100%
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
$46.2M for 49 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•• P•••••••• L•Hedge Fund$767M35Feb 15, 2012
      E•• I••••••••• L••no longer reportedHedge Fund$228M1Feb 15, 2012
      S•• M••••• I•• L•no longer reportedHedge Fund$104M25Nov 28, 2012
      S•• I• P•••••••• L•no longer reportedHedge Fund$81.3M18Nov 28, 2012
      C•• P•••••••• L•no longer reportedHedge Fund$5.8M29Feb 15, 2012
      S•• M••••• I• L•Hedge Fund$582,5626Nov 28, 2012
      S•• I• P•••••••• L•Hedge Fund$549,8024Nov 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••••• K••• · Chief Compliance Officercontrol
        since 01/2015 · owns less than 5%
      • K••••••• K••••• S• · Presidentcontrol
        since 03/2016 · owns less than 5%
      • L••••••• E•••••• S•••• · Chief Executive Officercontrol
        since 04/1988 · owns 75% or more
      • T•••••••• H••••• · Chief Financial Officercontrol
        since 01/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      • E•• I••••••••• M••••••••• L•
        investment adviserbankn
      • R•• P•••••••• L•
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Coconut Grove, FL1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $750M to $768M
        Mar 31, 2021 to Nov 11, 2021
      • Pooled vehicle RAUM · $750M to $768M
        Mar 31, 2021 to Nov 11, 2021
      • RAUM · $750M to $768M
        Mar 31, 2021 to Nov 11, 2021
      • Assets in custody · $39.2M to $46.2M
        Oct 1, 2020 to Mar 31, 2021
      • Employees · 8 to 7
        Oct 1, 2020 to Mar 31, 2021
      • Discretionary RAUM · $876M to $750M
        Oct 1, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $876M to $750M
        Oct 1, 2020 to Mar 31, 2021
      • RAUM · $876M to $750M
        Oct 1, 2020 to Mar 31, 2021
      • Assets in custody · unset to 39190683.0
        Jul 16, 2019 to Mar 30, 2020
      • Custody of client assets · false to true
        Jul 16, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.1B to $876M
        Jul 16, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.1B to $876M
        Jul 16, 2019 to Mar 30, 2020
      • RAUM · $1.1B to $876M
        Jul 16, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.3B to $1.1B
        May 8, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.3B to $1.1B
        May 8, 2018 to Mar 29, 2019
      • RAUM · $1.3B to $1.1B
        May 8, 2018 to Mar 29, 2019
      • Accounts · 5 to 3
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 9 to 8
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $2.0B to $1.3B
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 1339013685.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $2.0B to $1.3B
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 6 to 5
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.8B to $2.0B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $2.8B to $2.0B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 3 to 6
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 2 to 3
        Mar 30, 2015 to Mar 30, 2016
      • Employees · 6 to 9
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $3.7B to $2.8B
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $3.7B to $2.8B
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 6 to 3
        Jan 8, 2015 to Mar 30, 2015
      • Employees · 7 to 6
        Jan 8, 2015 to Mar 30, 2015
      • HQ city · BAY HARBOR to BAY HARBOR ISLANDS
        Jan 8, 2015 to Mar 30, 2015
      • Private funds · 6 to 3
        Jan 8, 2015 to Mar 30, 2015
      • Discretionary RAUM · $4.2B to $3.7B
        Jan 8, 2015 to Mar 30, 2015
      • RAUM · $4.2B to $3.7B
        Jan 8, 2015 to Mar 30, 2015
      • Accounts · 7 to 6
        Oct 28, 2013 to Mar 31, 2014
      • Employees · 3 to 7
        Oct 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $6.0B to $4.2B
        Oct 28, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • E•• I••••••••• I••• reported RAUM $1.3B, down 35% from $2.0B (2017-03-31 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      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