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Former SEC-registered adviser

C••••• C•••••• M••••••••• I•••

Former SEC-registered adviserShort Hills, New JerseyCRD 157543SEC 801-74012IAPD
Latest filing Mar 23, 2016
First filing on the tape Feb 14, 2012 · 6 filings
RAUM
$2.0B
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
9
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$2.0B gross assets
History
6 filings and snapshots on the tape
RAUM$2.0B as of Mar 23, 2016
Mar 28, 2013$3.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2016
Mar 28, 20130 then
Employees (5.A)9 as of Mar 23, 2016
Mar 28, 201311 then
Private funds4 as of Mar 23, 2016
Mar 28, 20135 then
RAUM -19% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2016; 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
$496MderivedRAUM 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
-19%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)
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
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• P•••••••• L•••Hedge Fund$1.4B107Feb 14, 2012
      C••••• O••••••• M••••• F••• L•••Hedge Fund$449M2Feb 14, 2012
      C••••• P••••••• I•• L•••Hedge Fund$166M9Feb 14, 2012
      C••••• O••••••• M••••• F••• I•• L•••no longer reportedHedge Fund$129M5Feb 14, 2012
      W•••••• C•••••• S••••• F••• L•• • S••••• L•••no longer reportedHedge Fund$29.0M1Nov 21, 2013
      C••••• C•••••• O••• F•••• L•••no longer reportedHedge Fund$27.4M2Feb 14, 2012
      C••••• K• P•••••••• L•••Hedge Fund$15.7M4Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• W••••• M•••••• · Presidentcontrol
        since 12/1994 · owns 75% or more
      • L•••• T•••••• J••••• · Chief Compliance Officer/Chief Financial Officer
        since 04/1997 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••• M••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • C••••• M••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Mar 25, 2015 to Mar 23, 2016
      • Employees · 10 to 9
        Mar 25, 2015 to Mar 23, 2016
      • Discretionary RAUM · $2.5B to $2.0B
        Mar 25, 2015 to Mar 23, 2016
      • RAUM · $2.5B to $2.0B
        Mar 25, 2015 to Mar 23, 2016
      • Accounts · 5 to 4
        Mar 28, 2014 to Mar 25, 2015
      • Advisory activities · 2 to 1
        Mar 28, 2014 to Mar 25, 2015
      • Employees · 9 to 10
        Mar 28, 2014 to Mar 25, 2015
      • HQ city · NEW YORK to SHORT HILLS
        Mar 28, 2014 to Mar 25, 2015
      • HQ state · NY to NJ
        Mar 28, 2014 to Mar 25, 2015
      • Private funds · 5 to 4
        Mar 28, 2014 to Mar 25, 2015
      • Discretionary RAUM · $2.8B to $2.5B
        Mar 28, 2014 to Mar 25, 2015
      • RAUM · $2.8B to $2.5B
        Mar 28, 2014 to Mar 25, 2015
      • Related bank · false to true
        Mar 28, 2014 to Mar 25, 2015
      • Advisory employees · 6 to 5
        Nov 21, 2013 to Mar 28, 2014
      • Employees · 11 to 9
        Nov 21, 2013 to Mar 28, 2014
      • Discretionary RAUM · $2.9B to $2.8B
        Nov 21, 2013 to Mar 28, 2014
      • RAUM · $2.9B to $2.8B
        Nov 21, 2013 to Mar 28, 2014
      • Accounts · 6 to 5
        Mar 28, 2013 to Nov 21, 2013
      • Discretionary RAUM · $3.1B to $2.9B
        Mar 28, 2013 to Nov 21, 2013
      • RAUM · $3.1B to $2.9B
        Mar 28, 2013 to Nov 21, 2013
      • Accounts · 9 to 6
        Feb 14, 2012 to Mar 28, 2013
      • Advisory employees · unset to 6.0
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 11.0
        Feb 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Private funds · 6 to 5
        Feb 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $3.8B to $3.1B
        Feb 14, 2012 to Mar 28, 2013
      • RAUM · $3.8B to $3.1B
        Feb 14, 2012 to Mar 28, 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