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Former SEC-registered adviser

C•••••• C•••••• M••••••••• L•

Former SEC-registered adviserGreenwich, ConnecticutCRD 157701SEC 801-73931IAPD
Latest filing Oct 16, 2017
First filing on the tape Feb 14, 2012 · 12 filings
RAUM
$1.9B
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
25
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$2.2B gross assets
History
12 filings and snapshots on the tape
RAUM$2.4B as of Mar 31, 2017
Mar 27, 2013$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 27, 20130 then
Employees (5.A)25 as of Mar 31, 2017
Mar 27, 201330 then
Private funds4 as of Mar 31, 2017
Mar 27, 20133 then
RAUM -33% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 16, 2017; 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
$241MderivedRAUM 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
-16%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
Custody
$2.2B, 7 clientsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.2B for 7 clientsreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• C•••••• M••••• F••• L•••Hedge Fund$1.0B104Feb 14, 2012
      C•••••• C•••••• P••••••• L•Hedge Fund$714M92Feb 14, 2012
      C•••••• C•••••• L••• O••••••••• M••••• F••• L•••Hedge Fund$362M12Mar 31, 2015
      C•••••• C•••••• M•••• D••••••••• M••••• F••• L•••Hedge Fund$67.9M10Aug 29, 2017
      C•••••• C•••••• P••••••• I• L•Hedge Fund$63.0M47Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J•••• A• · Chief Financial Officercontrol
        since 10/2017 · owns less than 5%
      • K•••• D•••••• E••• · General Counsel/Chief Compliance Officercontrol
        since 08/2016 · owns less than 5%
      • S••••••••• D••••• I••••• · Portfolio Manager/Limited Partnercontrol
        since 07/2007 · owns 50% to 75%
      • T••••• J••••• A•• · Chief Operating Officercontrol
        since 01/2016 · owns 5% to 10%
      • S••••••••• D••••• I••••• · Managing Membercontrol
        since 07/2007 · owns 75% or more of C•••••• C•••••• G• L••
      • O•••• D•••••• · Trustee-S•••••••• F••••• 2••• R•••••••• T••••
        since 09/2016 · owns 5% to 10%
      • S••••••••• J•••••• L•••••••• · Trustee-S•••••••• F••••• 2••• R•••••••• T••••
        since 04/2013 · owns 5% to 10%
      • O•••• D•••••• · Trustee
        since 09/2016 · owns F of S•••••••• F••••• 2••• R•••••••• T••••
      • S••••••••• J•••••• L•••••••• · Trustee
        since 04/2013 · owns F of S•••••••• F••••• 2••• R•••••••• T••••
      Entity owners
      • C•••••• C•••••• G• L•• · General Partner
        direct · owns less than 5%
      • S•••••••• F••••• 2••• R•••••••• T•••• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • C•••••• C•••••• A••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY3 employees
      What changed
      consecutive filings, newest first
      • Other offices · unset to 1.0
        Aug 29, 2017 to Oct 16, 2017
      • Discretionary RAUM · $2.4B to $1.9B
        Aug 29, 2017 to Oct 16, 2017
      • RAUM · $2.4B to $1.9B
        Aug 29, 2017 to Oct 16, 2017
      • Private funds · 4 to 5
        Mar 31, 2017 to Aug 29, 2017
      • Accounts · 7 to 8
        Sep 9, 2016 to Mar 31, 2017
      • Advisory employees · 14 to 10
        Sep 9, 2016 to Mar 31, 2017
      • Assets in custody · $2.9B to $2.2B
        Sep 9, 2016 to Mar 31, 2017
      • Employees · 33 to 25
        Sep 9, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.9B to $2.4B
        Sep 9, 2016 to Mar 31, 2017
      • RAUM · $2.9B to $2.4B
        Sep 9, 2016 to Mar 31, 2017
      • Accounts · 6 to 7
        Jan 11, 2016 to Mar 30, 2016
      • Advisory employees · 15 to 14
        Jan 11, 2016 to Mar 30, 2016
      • Assets in custody · $3.7B to $2.9B
        Jan 11, 2016 to Mar 30, 2016
      • Discretionary RAUM · $3.7B to $2.9B
        Jan 11, 2016 to Mar 30, 2016
      • RAUM · $3.7B to $2.9B
        Jan 11, 2016 to Mar 30, 2016
      • Accounts · 4 to 6
        Dec 9, 2014 to Mar 31, 2015
      • Advisory employees · 14 to 15
        Dec 9, 2014 to Mar 31, 2015
      • Assets in custody · $4.0B to $3.7B
        Dec 9, 2014 to Mar 31, 2015
      • Employees · 31 to 33
        Dec 9, 2014 to Mar 31, 2015
      • Private funds · 3 to 4
        Dec 9, 2014 to Mar 31, 2015
      • Discretionary RAUM · $4.0B to $3.7B
        Dec 9, 2014 to Mar 31, 2015
      • RAUM · $4.0B to $3.7B
        Dec 9, 2014 to Mar 31, 2015
      • Assets in custody · $3.6B to $4.4B
        Mar 27, 2013 to Mar 31, 2014
      • Employees · 30 to 31
        Mar 27, 2013 to Mar 31, 2014
      • Discretionary RAUM · $3.6B to $4.4B
        Mar 27, 2013 to Mar 31, 2014
      • RAUM · $3.6B to $4.4B
        Mar 27, 2013 to Mar 31, 2014
      • Assets in custody · $4.4B to $4.0B
        Mar 31, 2014 to Mar 31, 2014
      • Discretionary RAUM · $4.4B to $4.0B
        Mar 31, 2014 to Mar 31, 2014
      • RAUM · $4.4B to $4.0B
        Mar 31, 2014 to Mar 31, 2014
      • Advisory employees · unset to 14.0
        Feb 14, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 27, 2013
      • Assets in custody · $3.7B to $3.6B
        Feb 14, 2012 to Mar 27, 2013
      • Employees · unset to 30.0
        Feb 14, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 27, 2013
      • Discretionary RAUM · $3.7B to $3.6B
        Feb 14, 2012 to Mar 27, 2013
      • RAUM · $3.7B to $3.6B
        Feb 14, 2012 to Mar 27, 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