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C••••••••• C•••••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser14 private funds· Wilton, Connecticut

Former SEC-registered adviser, based in Wilton, Connecticut, reporting $1.3B of regulatory assets.

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

Last reported RAUM
$1.3B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-7.7%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 21 Form ADV filings for this adviser, the latest 8.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 157451 · SEC 801-74140 · 21 filingsShow
CRD 157451SEC 801-74140First filing on the tape Feb 14, 2012, latest Mar 29, 2018IAPD
RAUM
$1.3B
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
38
14 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
14
$1.4B gross assets
History
21 filings and snapshots on the tape
RAUM$1.3B as of Mar 29, 2018
Mar 27, 2013$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 27, 20130 then
Employees (5.A)38 as of Mar 29, 2018
Mar 27, 201370 then
Private funds14 as of Mar 29, 2018
Mar 27, 20138 then
RAUM -7.7% over the last fiscal year-2.5% 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
$95.8MderivedRAUM 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
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
-7.7%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, fixed fees, 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$1.3B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• Y••• C••• · Chief Operating Officercontrol
        since 01/2008 · owns less than 5%
      • G••••• A••• · Partnercontrol
        since 02/2002 · owns less than 5%
      • M••••••• M••••• A•• · Chief Compliance Officercontrol
        since 09/2017 · owns less than 5%
      • P••••• R•••••• D••• · Managing Partnercontrol
        since 12/2001 · owns less than 5%
      • T••••• R•••• · Chief Financial Officercontrol
        since 03/2015 · owns less than 5%
      • P••••• R•••••• D••• · Co-General Partnercontrol
        since 07/2007 · owns 50% to 75% of A•• G• H•••••••• L•••
      Entity owners
      • C••••••••• C•••••• P••••••• H•••••• L•• · M••••••• M••••• O• C••••••••• C•••••• P•••••••• L••
        direct · owns 75% or more
      • C••••••••• C•••••• P••••••• H••••••• L••• · G•••••• P•••••• O• C••••••••• C•••••• P•••••••• L•••
        direct · owns less than 5%
      • C••••••••• C•••••• P•••••••• L•• · L•••••• P•••••• O• C••••••••• C•••••• P•••••••• L•••
        direct · owns 75% or more
      • A•• G• H•••••••• L••• · General Partner
        indirect · owns 75% or more of A•• H••••••• L•••
      • A•• H••••••• L••• · General Partner
        indirect · owns 75% or more of A••• D••• I••••••••• L•••
      • C••••••••• C•••••• P•••••••• L•• · Shareholder
        indirect · owns 75% or more of C••••••••• C•••••• P••••••• H••••••• L•••
      • G•••• F••••• H•••••••• I••• ••• I•••• · Co-General Partner
        indirect · owns 50% to 75% of A•• G• H•••••••• L•••
      • G•••• F••••• H•••••••• I••• ••• I•••• · Member
        indirect · owns 25% to 50% of C••••••••• C•••••• P••••••• H••••••, LLC
      • R•• H••••••• L•• · Member
        indirect · owns 50% to 75% of C••••••••• C•••••• P••••••• H••••••, LLC
      • A••• D••• I••••••••• L••• · M••••• O• C••••••••• C•••••• P•••••••• L••
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C••••••••• C•••••• G•• L•••
        pooled vehicle sponsorn
      • C••••••••• C•••••• G•• L•••
        pooled vehicle sponsorn
      • C••••••••• C•••••• P••••••• F••• I• G•• L•••
        pooled vehicle sponsorn
      • C••••••••• C•••••• P••••••• F••• I•• •••••• G•• L•••
        pooled vehicle sponsorn
      • C••••••••• C•••••• P••••••• F••• I•• G•• L•••
        pooled vehicle sponsorn
      • C••••••••• C•••••• P••••••• F••• I• G•• L•••
        bankpooled vehicle sponsorn
      • C••••••••• C•••••• P••••••• H••• K••• L•••
        investment advisern
      • C••••••••• C•••••• P••••••• L•• G•• L•••
        pooled vehicle sponsorn
      • C••••••••• C•••••• P••••••• S•••••••• P•• L•••
        investment advisern
      • C••••••••• C•••••• P•••••••• L•
        investment advisery
      • C••••••••• I••••••••• A••••••• I•••• P•••••• L••••••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Central H••• K•••, Hong Kong13 employees
      • S••••••••, Singapore1 employees
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 14.0
        Sep 29, 2017 to Mar 29, 2018
      • Assets in custody · $1.4B to $0
        Sep 29, 2017 to Mar 29, 2018
      • Employees · 39 to 38
        Sep 29, 2017 to Mar 29, 2018
      • Other offices · unset to 4.0
        Sep 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.5B to $1.3B
        Sep 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1340664945.0
        Sep 29, 2017 to Mar 29, 2018
      • RAUM · $1.5B to $1.3B
        Sep 29, 2017 to Mar 29, 2018
      • HQ city · NEW YORK to WILTON
        Mar 30, 2017 to Sep 29, 2017
      • HQ state · NY to CT
        Mar 30, 2017 to Sep 29, 2017
      • Accounts · 12 to 14
        Nov 4, 2016 to Mar 30, 2017
      • Advisory employees · 15 to 14
        Nov 4, 2016 to Mar 30, 2017
      • Employees · 43 to 39
        Nov 4, 2016 to Mar 30, 2017
      • Private funds · 12 to 14
        Nov 4, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.3B to $1.5B
        Nov 4, 2016 to Mar 30, 2017
      • RAUM · $1.3B to $1.5B
        Nov 4, 2016 to Mar 30, 2017
      • Assets in custody · $14B to $1.4B
        Mar 29, 2016 to Apr 11, 2016
      • Assets in custody · $1.4B to $14B
        Oct 2, 2015 to Mar 29, 2016
      • Employees · 44 to 43
        Oct 2, 2015 to Mar 29, 2016
      • Discretionary RAUM · $1.4B to $1.3B
        Oct 2, 2015 to Mar 29, 2016
      • RAUM · $1.4B to $1.3B
        Oct 2, 2015 to Mar 29, 2016
      • Accounts · 9 to 12
        Mar 5, 2015 to Mar 31, 2015
      • Advisory employees · 19 to 15
        Mar 5, 2015 to Mar 31, 2015
      • Assets in custody · $1.3B to $1.4B
        Mar 5, 2015 to Mar 31, 2015
      • Employees · 57 to 44
        Mar 5, 2015 to Mar 31, 2015
      • Private funds · 9 to 12
        Mar 5, 2015 to Mar 31, 2015
      • Discretionary RAUM · $1.3B to $1.4B
        Mar 5, 2015 to Mar 31, 2015
      • RAUM · $1.3B to $1.4B
        Mar 5, 2015 to Mar 31, 2015
      • Accounts · 8 to 9
        Jul 1, 2013 to Mar 28, 2014
      • Advisory employees · 24 to 19
        Jul 1, 2013 to Mar 28, 2014
      • Assets in custody · $1.8B to $1.3B
        Jul 1, 2013 to Mar 28, 2014
      • Employees · 70 to 57
        Jul 1, 2013 to Mar 28, 2014
      • Private funds · 8 to 9
        Jul 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.7B to $1.3B
        Jul 1, 2013 to Mar 28, 2014
      • RAUM · $1.7B to $1.3B
        Jul 1, 2013 to Mar 28, 2014
      • Advisory employees · 30 to 24
        Feb 15, 2013 to Mar 27, 2013
      • Employees · 76 to 70
        Feb 15, 2013 to Mar 27, 2013
      • Discretionary RAUM · $1.9B to $1.7B
        Feb 15, 2013 to Mar 27, 2013
      • RAUM · $1.9B to $1.7B
        Feb 15, 2013 to Mar 27, 2013
      • Accounts · 7 to 8
        Oct 22, 2012 to Feb 15, 2013
      • Advisory employees · unset to 30.0
        Oct 22, 2012 to Feb 15, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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