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Former SEC-registered adviser

B•••••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157426SEC 801-74685IAPD
Latest filing Mar 15, 2017
First filing on the tape Mar 19, 2012 · 11 filings
RAUM
$25.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$12.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$25.2M as of Mar 15, 2017
Jan 4, 2013$109M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2017
Jan 4, 20130 then
Employees (5.A)2 as of Mar 15, 2017
Jan 4, 20132 then
Private funds1 as of Mar 28, 2014
Jan 4, 20131 then
RAUM -30% over the last fiscal year-37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2017; every figure names its basis
RAUM per advisor
$12.6MderivedRAUM 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
$12.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-30%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 individuals, portfolio management for businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••• J•• G••••••••East Hampton, NyJul 15, 202421 y1
L•••• N••••• S•••••••Chartered Financial AnalystEast Hampton, NyOct 7, 202415 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    B•••••• U•••• D•••• S••••••••• L•no longer reportedHedge Fund$2.2M9Mar 19, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••••• C••••• J•• · Coo, Cco, Managing Membercontrol
      since 02/2011 · owns 50% to 75%
    • S•••••••• L••••• N••••• · Cio, Managing Membercontrol
      since 02/2011 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    East Hampton, Ny200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 4 to 2
      Oct 17, 2016 to Mar 15, 2017
    • Discretionary RAUM · $36.2M to $25.2M
      Oct 17, 2016 to Mar 15, 2017
    • RAUM · $36.2M to $25.2M
      Oct 17, 2016 to Mar 15, 2017
    • HQ city · unset to NEW YORK
      Mar 30, 2016 to Oct 17, 2016
    • HQ state · unset to NY
      Mar 30, 2016 to Oct 17, 2016
    • Accounts · 7 to 4
      Feb 3, 2015 to Mar 30, 2016
    • Discretionary RAUM · $85.2M to $36.2M
      Feb 3, 2015 to Mar 30, 2016
    • RAUM · $85.2M to $36.2M
      Feb 3, 2015 to Mar 30, 2016
    • Accounts · 8 to 7
      Oct 29, 2014 to Feb 3, 2015
    • Advisory employees · 3 to 2
      Oct 29, 2014 to Feb 3, 2015
    • Advisory activities · 3 to 2
      Oct 29, 2014 to Feb 3, 2015
    • Employees · 3 to 2
      Oct 29, 2014 to Feb 3, 2015
    • Private funds · 1 to unset
      Oct 29, 2014 to Feb 3, 2015
    • Discretionary RAUM · $102M to $85.2M
      Oct 29, 2014 to Feb 3, 2015
    • RAUM · $102M to $85.2M
      Oct 29, 2014 to Feb 3, 2015
    • Accounts · 14 to 8
      Jan 4, 2013 to Mar 28, 2014
    • Advisory employees · 2 to 3
      Jan 4, 2013 to Mar 28, 2014
    • Employees · 2 to 3
      Jan 4, 2013 to Mar 28, 2014
    • Discretionary RAUM · $109M to $102M
      Jan 4, 2013 to Mar 28, 2014
    • RAUM · $109M to $102M
      Jan 4, 2013 to Mar 28, 2014
    • Accounts · 5 to 14
      Sep 7, 2012 to Jan 4, 2013
    • Advisory employees · unset to 2.0
      Sep 7, 2012 to Jan 4, 2013
    • Employees · unset to 2.0
      Sep 7, 2012 to Jan 4, 2013
    • Financial planning clients · unset to 0
      Sep 7, 2012 to Jan 4, 2013
    • Discretionary RAUM · $62.5M to $109M
      Sep 7, 2012 to Jan 4, 2013
    • RAUM · $62.5M to $109M
      Sep 7, 2012 to Jan 4, 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
    $12.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026