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O•• C••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $25.6M of regulatory assets.

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

Last reported RAUM
$25.6M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-3.8%
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 24 Form ADV filings for this adviser, the latest 6.6 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 157535 · SEC 801-73427 · 24 filingsShow
CRD 157535SEC 801-73427First filing on the tape Feb 13, 2012, latest Mar 23, 2020IAPD
RAUM
$25.6M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$25.6M gross assets
History
24 filings and snapshots on the tape
RAUM$25.6M as of Mar 23, 2020
Mar 21, 2013$203M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2020
Mar 21, 20130 then
Employees (5.A)3 as of Mar 23, 2020
Mar 21, 20137 then
Private funds3 as of Mar 23, 2020
Mar 21, 20136 then
RAUM -3.8% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2020; 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
$6.4MderivedRAUM 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
-3.8%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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$25.6M100%
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
noreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•••••• S•••••• S••••••••• B••• F•••• L•••no longer reportedHedge Fund$22.0M8Feb 13, 2012
      A•••••••• G••••• L•• L•••Other Private Fund$12.5M81Feb 13, 2012
      O•••••• S•••••• S••••••••• B••• M••••• F•••• L•••Hedge Fund$6.8M6Feb 13, 2012
      O•••••• C••••••••• B••• O••••••••• F••• L•••no longer reportedHedge Fund$6.3M145Feb 13, 2012
      O•••••• ••••no longer reportedOther Private Fund$140,9913Feb 13, 2012
      A•••••••• G••••• M••••• F•••• L•••no longer reportedOther Private Fund$03Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• M•••••• · Member; Member Of Board Of Managers; Chief Investment Officercontrol
        since 06/2010 · owns 50% to 75%
      • I••••••••• V•••• · Member; Member Of Board Of Managers; Head Of Tradingcontrol
        since 03/2012 · owns 10% to 25%
      • P••••• C••••••••• R•••• · Member; Member Of Board Of Managers; Managing Partner; Chief Operating Officer; Chief Compliance Officer; Corporate Secretarycontrol
        since 12/2010 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • O•• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Mar 18, 2019 to Mar 23, 2020
      • Pooled vehicle clients · 5 to 4
        Mar 18, 2019 to Mar 23, 2020
      • Discretionary RAUM · $26.6M to $25.6M
        Mar 18, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $26.6M to $25.6M
        Mar 18, 2019 to Mar 23, 2020
      • RAUM · $26.6M to $25.6M
        Mar 18, 2019 to Mar 23, 2020
      • Private funds · 4 to 3
        Jun 29, 2018 to Mar 18, 2019
      • Discretionary RAUM · $28.3M to $26.6M
        Jun 29, 2018 to Mar 18, 2019
      • Pooled vehicle RAUM · $28.3M to $26.6M
        Jun 29, 2018 to Mar 18, 2019
      • RAUM · $28.3M to $26.6M
        Jun 29, 2018 to Mar 18, 2019
      • Accounts · 6 to 5
        Mar 27, 2018 to Jun 4, 2018
      • Pooled vehicle clients · 6 to 5
        Mar 27, 2018 to Jun 4, 2018
      • Private funds · 5 to 4
        Mar 27, 2018 to Jun 4, 2018
      • Discretionary RAUM · $34.0M to $28.3M
        Mar 27, 2018 to Jun 4, 2018
      • Pooled vehicle RAUM · $34.0M to $28.3M
        Mar 27, 2018 to Jun 4, 2018
      • RAUM · $34.0M to $28.3M
        Mar 27, 2018 to Jun 4, 2018
      • Pooled vehicle clients · unset to 6.0
        Aug 24, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Aug 24, 2017 to Mar 27, 2018
      • Discretionary RAUM · $39.0M to $34.0M
        Aug 24, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 34022680.0
        Aug 24, 2017 to Mar 27, 2018
      • RAUM · $39.0M to $34.0M
        Aug 24, 2017 to Mar 27, 2018
      • Employees · 5 to 3
        Sep 15, 2016 to Mar 31, 2017
      • Discretionary RAUM · $40.0M to $39.0M
        Sep 15, 2016 to Mar 31, 2017
      • RAUM · $40.0M to $39.0M
        Sep 15, 2016 to Mar 31, 2017
      • Advisory employees · 4 to 3
        Mar 24, 2015 to Mar 30, 2016
      • Employees · 7 to 5
        Mar 24, 2015 to Mar 30, 2016
      • Discretionary RAUM · $60.1M to $40.0M
        Mar 24, 2015 to Mar 30, 2016
      • RAUM · $60.1M to $40.0M
        Mar 24, 2015 to Mar 30, 2016
      • Advisory employees · 3 to 4
        Jul 2, 2014 to Mar 24, 2015
      • Employees · 5 to 7
        Jul 2, 2014 to Mar 24, 2015
      • Discretionary RAUM · $79.0M to $60.1M
        Jul 2, 2014 to Mar 24, 2015
      • RAUM · $79.0M to $60.1M
        Jul 2, 2014 to Mar 24, 2015
      • Related bank · false to true
        Jul 2, 2014 to Mar 24, 2015
      • Advisory employees · 4 to 3
        Nov 26, 2013 to Mar 25, 2014
      • Business name · O•••••• I••••••••• M••••••••• L•• to O•• C••••••• L••
        Nov 26, 2013 to Mar 25, 2014
      • Employees · 7 to 5
        Nov 26, 2013 to Mar 25, 2014
      • Private funds · 6 to 5
        Nov 26, 2013 to Mar 25, 2014
      • Discretionary RAUM · $203M to $79.0M
        Nov 26, 2013 to Mar 25, 2014
      • RAUM · $203M to $79.0M
        Nov 26, 2013 to Mar 25, 2014
      • Legal name · O•••••• I••••••••• M••••••••• L•• to O•• C••••••• L••
        Nov 22, 2013 to Nov 25, 2013
      • Accounts · 5 to 6
        Nov 30, 2012 to Mar 21, 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