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Former SEC-registered adviser

N•••••• I•••••••• M••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 158236SEC 801-74225IAPD
Latest filing May 29, 2015
First filing on the tape Feb 15, 2012 · 4 filings
RAUM
$256M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$106M gross assets
History
4 filings and snapshots on the tape
RAUM$256M as of May 29, 2015
Feb 15, 2013$256M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 29, 2015
Feb 15, 20130 then
Employees (5.A)5 as of May 29, 2015
Feb 15, 20135 then
Private funds2 as of May 29, 2015
Feb 15, 20132 then
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 29, 2015; 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
$128MderivedRAUM 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
+0.0%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
yesreportedItem 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
  • 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)
  • 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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      N•••••• I•••••••• F••• I•• L•Private Equity Fund$85.0M15Feb 15, 2012
      N•••••• I•••••••• F••• I• L•Private Equity Fund$21.2M10Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • N••••••• L•••• G••••••• · Managing Partnercontrol
        since 11/2001 · owns 75% or more
      • C•••• J•••••• K•••• · Chief Compliance Officer And Director Of Finance
        since 06/2005 · owns less than 5%
      • N•••••• J•••• K••••• · Principal
        since 11/2006 · owns less than 5%
      Related persons
      Schedule D 7.A
      • N•••••• I•••••••• I•• L••
        pooled vehicle sponsorn
      • N•••••• I••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 4.0
        Feb 15, 2012 to Feb 15, 2013
      • BD registered reps · unset to 0.0
        Feb 15, 2012 to Feb 15, 2013
      • Employees · unset to 5.0
        Feb 15, 2012 to Feb 15, 2013
      • State-registered IARs · unset to 0.0
        Feb 15, 2012 to Feb 15, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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