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Former SEC-registered adviser

P••••••• C•••••• L••

Former SEC-registered adviserLondon, CRD 158046SEC 801-72507IAPD
Latest filing Aug 4, 2014
First filing on the tape Mar 6, 2012 · 8 filings
RAUM
$287M
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$156M gross assets
History
8 filings and snapshots on the tape
RAUM$287M as of Jan 31, 2014
Mar 30, 2012$253M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 31, 2014
Mar 30, 20120 then
Employees (5.A)10 as of Jan 31, 2014
Jan 31, 201310 then
Private funds2 as of Jan 31, 2014
Mar 30, 20122 then
RAUM +9.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 4, 2014; 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
$71.8MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.3%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 businesses and institutions, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
0reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• P•••••• M••••• F••• L••••••Hedge Fund$155M43Mar 6, 2012
      P••••••• J••••• M••••• F••• L••••••no longer reportedHedge Fund$24.0M31Mar 6, 2012
      P••••••• L•••••• F••• L••••••Hedge Fund$992,5193Jan 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• L•••• · Chief Executive Officercontrol
        since 07/2007 · owns 75% or more
      • F•••••• C••••••••• P••• · Chief Compliance Officercontrol
        since 11/2011 · owns less than 5%
      • M••••••• A••••• J••• · G•••••• Partnercontrol
        since 04/2009 · owns 5% to 10%
      • R•••••• J•••••• K•• · G•••••• Partnercontrol
        since 09/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      • P••••••• P•••••• G•••••• P•••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Jan 31, 2013 to Jan 31, 2014
      • Discretionary RAUM · $263M to $287M
        Jan 31, 2013 to Jan 31, 2014
      • RAUM · $263M to $287M
        Jan 31, 2013 to Jan 31, 2014
      • Advisory employees · unset to 5.0
        Sep 6, 2012 to Jan 31, 2013
      • Employees · unset to 10.0
        Sep 6, 2012 to Jan 31, 2013
      • Discretionary RAUM · $253M to $263M
        Sep 6, 2012 to Jan 31, 2013
      • RAUM · $253M to $263M
        Sep 6, 2012 to Jan 31, 2013
      • Discretionary RAUM · $253M to $253M
        Mar 6, 2012 to Mar 30, 2012
      • RAUM · $253M to $253M
        Mar 6, 2012 to Mar 30, 2012
      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