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Former SEC-registered adviser

S••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 158232SEC 801-73954IAPD
Latest filing Mar 9, 2019
First filing on the tape Feb 14, 2012 · 11 filings
RAUM
$750M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
55%
$409M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$297M gross assets
History
11 filings and snapshots on the tape
RAUM$750M as of Mar 9, 2019
Mar 14, 2013$419M then
HNW client RAUM$409M as of Mar 9, 2019
Mar 23, 2018$414M then
State-registered IARs (5.B.3)0 as of Mar 9, 2019
Mar 14, 20130 then
Employees (5.A)4 as of Mar 9, 2019
Mar 14, 20132 then
Private funds1 as of Mar 9, 2019
Mar 14, 20133 then
RAUM -5.2% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 9, 2019; 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
$22.7MderivedHNW RAUM over HNW clients
Average account
$31.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.5%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
-5.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • High-net-worth individuals$409M55%
  • Pooled investment vehicles$297M40%
  • Charitable organizations$41.2M5.5%
  • Corporations and businesses$2.5M0.3%
Individual clients
0reported
HNW clients
18reported
Pension plan clients
0reported
Charitable clients
3reported
Accounts
24reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••• S••• F••• L••••••no longer reportedHedge Fund$161M130Mar 23, 2012
      G•• S•••••••• H•••• I•••no longer reportedHedge Fund$80.3M96Mar 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• A••• B• · Trusteecontrol
        since 05/2011 · owns less than 5%
      • F••••••••• A•••• S••••• · Member (S••• C•••••• And Luxor)control
        since 01/2018 · owns 10% to 25%
      • G••••• A•••••• J•••• · Trusteecontrol
        since 08/2016 · owns less than 5%
      • P••••••• S•••• L••• · Trusteecontrol
        since 05/2011 · owns less than 5%
      • S•••• B••••••• T•••••• · Managing Member (S••• C•••••• And Luxor)control
        since 11/2003 · owns 50% to 75%
      • J••••• S•••••• A••• · Chief Compliance Officer
        since 01/2004 · owns less than 5%
      Entity owners
      • S••• F••••• 2••• T• D•• 5•••••• · Member (S••• C•••••• And Luxor)
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 3
        Mar 23, 2018 to Mar 9, 2019
      • Employees · 3 to 4
        Mar 23, 2018 to Mar 9, 2019
      • Financial planning clients · 0 to unset
        Mar 23, 2018 to Mar 9, 2019
      • Discretionary RAUM · $791M to $750M
        Mar 23, 2018 to Mar 9, 2019
      • HNW RAUM · $414M to $409M
        Mar 23, 2018 to Mar 9, 2019
      • Pooled vehicle RAUM · $338M to $297M
        Mar 23, 2018 to Mar 9, 2019
      • RAUM · $791M to $750M
        Mar 23, 2018 to Mar 9, 2019
      • Related adviser · false to true
        Mar 23, 2018 to Mar 9, 2019
      • Accounts · 23 to 24
        Mar 16, 2017 to Mar 23, 2018
      • Advisory employees · 1 to 2
        Mar 16, 2017 to Mar 23, 2018
      • BD registered reps · 1 to 2
        Mar 16, 2017 to Mar 23, 2018
      • Charity clients · unset to 3.0
        Mar 16, 2017 to Mar 23, 2018
      • Corporate clients · unset to 2.0
        Mar 16, 2017 to Mar 23, 2018
      • HNW clients · unset to 18.0
        Mar 16, 2017 to Mar 23, 2018
      • Individual clients · unset to 0.0
        Mar 16, 2017 to Mar 23, 2018
      • Pension plan clients · unset to 0.0
        Mar 16, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 16, 2017 to Mar 23, 2018
      • Assets in custody · 318911000.0 to unset
        Mar 16, 2017 to Mar 23, 2018
      • Custody of client assets · true to false
        Mar 16, 2017 to Mar 23, 2018
      • Employees · 2 to 3
        Mar 16, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Mar 16, 2017 to Mar 23, 2018
      • Discretionary RAUM · $773M to $791M
        Mar 16, 2017 to Mar 23, 2018
      • HNW RAUM · unset to 413739000.0
        Mar 16, 2017 to Mar 23, 2018
      • Individual RAUM · unset to 0.0
        Mar 16, 2017 to Mar 23, 2018
      • Pension RAUM · unset to 0.0
        Mar 16, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 337655000.0
        Mar 16, 2017 to Mar 23, 2018
      • RAUM · $773M to $791M
        Mar 16, 2017 to Mar 23, 2018
      • Related adviser · true to false
        Mar 16, 2017 to Mar 23, 2018
      • Accounts · 24 to 23
        Feb 24, 2016 to Mar 16, 2017
      • Assets in custody · $323M to $319M
        Feb 24, 2016 to Mar 16, 2017
      • Discretionary RAUM · $722M to $773M
        Feb 24, 2016 to Mar 16, 2017
      • RAUM · $722M to $773M
        Feb 24, 2016 to Mar 16, 2017
      • Accounts · 23 to 24
        May 15, 2015 to Feb 24, 2016
      • Assets in custody · $377M to $323M
        May 15, 2015 to Feb 24, 2016
      • Discretionary RAUM · $898M to $722M
        May 15, 2015 to Feb 24, 2016
      • RAUM · $898M to $722M
        May 15, 2015 to Feb 24, 2016
      • Accounts · 7 to 23
        Mar 20, 2014 to Mar 26, 2015
      • Assets in custody · $212M to $377M
        Mar 20, 2014 to Mar 26, 2015
      • Private funds · 3 to 1
        Mar 20, 2014 to Mar 26, 2015
      • Discretionary RAUM · $475M to $898M
        Mar 20, 2014 to Mar 26, 2015
      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