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Former SEC-registered adviser

T••••• Q•• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157607SEC 801-74270IAPD
Latest filing Mar 25, 2013
First filing on the tape Feb 15, 2012 · 2 filings
RAUM
$223M
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
6
$223M gross assets
History
2 filings and snapshots on the tape
RAUM$223M as of Mar 25, 2013
Feb 15, 2012$584M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 9
Private funds6 as of Mar 25, 2013
Feb 15, 20128 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 25, 2013; 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
$37.2MderivedRAUM 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
unknownderivedbetween 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
6reported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• Q•• M••••• F•••• L•••Hedge Fund$87.8M60Feb 15, 2012
      T••••• Q•• A••••••••• M••••• F•••• L•••Hedge Fund$75.6M72Feb 15, 2012
      T••••• Q•• A••••••••• O••••••• F•••• L•••Hedge Fund$24.9M55Feb 15, 2012
      T••••• Q•• O••••••• F•••• L•••Hedge Fund$24.8M36Feb 15, 2012
      T••••• Q•• F•••• L•Hedge Fund$7.0M24Feb 15, 2012
      T••••• Q•• A••••••••• F•••• L•Hedge Fund$3.1M17Feb 15, 2012
      T••••• Q•• H•••••• M••••• F••• L•••no longer reportedHedge Fund$1.2M4Feb 15, 2012
      T••••• Q•• H•••••• F•••• L•no longer reportedHedge Fund$635,2944Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••• A•••••••• · Managing Membercontrol
        since 05/2008 · owns 25% to 50%
      • E••••••• R•••• A•••••• · Chief Compliance Officer And Managing Membercontrol
        since 05/2008 · owns 10% to 25%
      • W•••••• D••••• J• · Managing Membercontrol
        since 05/2008 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • T••••• Q•• C•••••• G•
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 6
        Feb 15, 2012 to Mar 25, 2013
      • Advisory employees · unset to 4.0
        Feb 15, 2012 to Mar 25, 2013
      • BD registered reps · unset to 0.0
        Feb 15, 2012 to Mar 25, 2013
      • Employees · unset to 9.0
        Feb 15, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Feb 15, 2012 to Mar 25, 2013
      • Private funds · 8 to 6
        Feb 15, 2012 to Mar 25, 2013
      • Discretionary RAUM · $584M to $223M
        Feb 15, 2012 to Mar 25, 2013
      • RAUM · $584M to $223M
        Feb 15, 2012 to Mar 25, 2013
      • Related bank · false to true
        Feb 15, 2012 to Mar 25, 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