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Former SEC-registered adviser

C••••••••• O••••••••• C•••••• G•• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 158229SEC 801-73694IAPD
Latest filing May 16, 2017
First filing on the tape Feb 14, 2012 · 19 filings
RAUM
$2.2B
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
18
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$838M gross assets
History
19 filings and snapshots on the tape
RAUM$6.1B as of Mar 30, 2017
Mar 28, 2013$357M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)18 as of Mar 30, 2017
Mar 28, 201311 then
Private funds2 as of Mar 30, 2017
Mar 28, 20131 then
RAUM +73% over the last fiscal year+4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 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
$276MderivedRAUM 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
+382%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 vehicles, otherreportedItem 5.G
Custody
$838M, 6 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
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
$838M for 6 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• O••••••••• M••••• F••• I• L••Hedge Fund$620M37Mar 31, 2015
      C••••••••• O••••••••• M••••• F••• L••Hedge Fund$217M97Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• B••••••• J••• · Chief Financial Officercontrol
        since 01/2014 · owns less than 5%
      • D•••••• T••••••• J••• · Head Of Executioncontrol
        since 01/2016 · owns less than 5%
      • F•••••• A•••• B••••• · Co-Founder & Chief Investment Officercontrol
        since 11/2008 · owns less than 5%
      • K•••••••• L••• · Chief Compliance Officer & General Counselcontrol
        since 10/2012 · owns less than 5%
      • S•••••• G•••• S••••• · Chief Operating Officercontrol
        since 11/2008 · owns less than 5%
      • F•••••• A•••• B••••• · Managing Membercontrol
        since 11/2008 · owns 50% to 75% of F••••• C••• L••
      • H•••••• A•••• E•••• · Limited Partner Of B••••• H••••• ••••••• L•control
        since 10/2008 · owns 50% to 75% of B••••• H••••• ••••••• L•
      Entity owners
      • C••• M••••••••• L• · Member & Manager
        direct · owns 75% or more
      • B•• L•• · General Partner Of B••••• H••••• ••••••• L•
        indirect · owns F of B••••• H••••• ••••••• L•
      • B••••• H••••• ••••••• L• · Limited Partner Of B••••• H••••• C•••••• M••••••••• L•
        indirect · owns 75% or more of B••••• H••••• C•••••• M••••••••• L•
      • B••••• H••••• C•••••• M••••••••• L• · Owner 100% Of Share Capital Of B••••• H••••• I••••••••• H••••••• L••
        indirect · owns 75% or more of B••••• H••••• I••••••••• H••••••• L••
      • B••••• H••••• C•••••• M••••••••• L•• · General Partner Of B••••• H••••• C•••••• M••••••••• L•
        indirect · owns F of B••••• H••••• C•••••• M••••••••• L•
      • B••••• H••••• I••••••••• H••••••• L•• · Owner 100% Of Share Capital Of B••••• H••••• P••••••••• S••••••• L••
        indirect · owns 75% or more of B••••• H••••• P••••••••• S••••••• L••
      • B••••• H••••• P••••••••• S••••••• L•• · Owner Of 100% Share Capital Of B••• H••••••• L••
        indirect · owns 75% or more of B••• H••••••• L••
      • C••• M••••••••• G• L•• · General Partner
        indirect · owns F of C••• M••••••••• L•
      • F••••• C••• L•• · Member
        indirect · owns 75% or more of C••• M••••••••• G• L••
      • F••••• C••• L•• · Limited Partner
        indirect · owns 75% or more of C••• F••••••• L•
      • B••• H••••••• L•• · Member
        direct · owns 10% to 25%
      • C••• F••••••• L• · Limited Partner
        indirect · owns 75% or more of C••• M••••••••• L•
      • T•• F••••• F••••• 2••• D••••••• T•••• · Member
        indirect · owns 25% to 50% of F••••• C••• L••
      • T•• G•••••• S•••• T•••• C•••••• O• D••••••• · Trustee
        indirect · owns F of T•• F••••• F••••• 2••• D••••••• T••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwich, CT
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 8
        Mar 30, 2017 to May 16, 2017
      • Assets in custody · $3.3B to $838M
        Mar 30, 2017 to May 16, 2017
      • Discretionary RAUM · $6.1B to $2.2B
        Mar 30, 2017 to May 16, 2017
      • RAUM · $6.1B to $2.2B
        Mar 30, 2017 to May 16, 2017
      • Advisory employees · 17 to 13
        Nov 10, 2016 to Mar 30, 2017
      • Assets in custody · $908M to $3.3B
        Nov 10, 2016 to Mar 30, 2017
      • Employees · 23 to 18
        Nov 10, 2016 to Mar 30, 2017
      • Discretionary RAUM · $5.5B to $6.1B
        Nov 10, 2016 to Mar 30, 2017
      • RAUM · $5.5B to $6.1B
        Nov 10, 2016 to Mar 30, 2017
      • Accounts · 8 to 7
        Mar 29, 2016 to Nov 10, 2016
      • Discretionary RAUM · $1.3B to $5.5B
        Mar 29, 2016 to Nov 10, 2016
      • RAUM · $1.3B to $5.5B
        Mar 29, 2016 to Nov 10, 2016
      • Advisory employees · 14 to 17
        Aug 11, 2015 to Mar 29, 2016
      • Assets in custody · $964M to $908M
        Aug 11, 2015 to Mar 29, 2016
      • Employees · 21 to 23
        Aug 11, 2015 to Mar 29, 2016
      • Discretionary RAUM · $1.6B to $1.3B
        Aug 11, 2015 to Mar 29, 2016
      • RAUM · $1.6B to $1.3B
        Aug 11, 2015 to Mar 29, 2016
      • Related adviser · false to true
        Aug 11, 2015 to Mar 29, 2016
      • Related bank · false to true
        Aug 11, 2015 to Mar 29, 2016
      • Accounts · 10 to 8
        Mar 31, 2015 to Aug 11, 2015
      • Discretionary RAUM · $1.9B to $1.6B
        Mar 31, 2015 to Aug 11, 2015
      • RAUM · $1.9B to $1.6B
        Mar 31, 2015 to Aug 11, 2015
      • Accounts · 6 to 10
        Jan 5, 2015 to Mar 31, 2015
      • Advisory employees · 12 to 14
        Jan 5, 2015 to Mar 31, 2015
      • Assets in custody · $553M to $964M
        Jan 5, 2015 to Mar 31, 2015
      • Employees · 16 to 21
        Jan 5, 2015 to Mar 31, 2015
      • Private funds · 1 to 2
        Jan 5, 2015 to Mar 31, 2015
      • Discretionary RAUM · $2.8B to $1.9B
        Jan 5, 2015 to Mar 31, 2015
      • RAUM · $2.8B to $1.9B
        Jan 5, 2015 to Mar 31, 2015
      • Discretionary RAUM · $2.5B to $2.8B
        Jun 27, 2014 to Oct 31, 2014
      • RAUM · $2.5B to $2.8B
        Jun 27, 2014 to Oct 31, 2014
      • Discretionary RAUM · $1.9B to $2.5B
        May 29, 2014 to May 29, 2014
      • RAUM · $1.9B to $2.5B
        May 29, 2014 to May 29, 2014
      • Accounts · 5 to 6
        Sep 27, 2013 to Mar 26, 2014
      • Advisory employees · 11 to 12
        Sep 27, 2013 to Mar 26, 2014
      • Advisory activities · 1 to 2
        Sep 27, 2013 to Mar 26, 2014
      • Assets in custody · $244M to $553M
        Sep 27, 2013 to Mar 26, 2014
      • Employees · 11 to 16
        Sep 27, 2013 to Mar 26, 2014
      • Discretionary RAUM · $357M to $1.9B
        Sep 27, 2013 to Mar 26, 2014
      • RAUM · $357M to $1.9B
        Sep 27, 2013 to Mar 26, 2014
      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