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Former SEC-registered adviser

W•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserCRD 158474SEC 801-72641IAPD
Latest filing Mar 15, 2019
First filing on the tape Dec 8, 2011 · 20 filings
RAUM
$34.3M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$34.3M gross assets
History
20 filings and snapshots on the tape
RAUM$34.3M as of Mar 15, 2019
Mar 30, 2012$210M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2019
Mar 30, 20120 then
Employees (5.A)2 as of Mar 15, 2019
Mar 28, 201313 then
Private funds4 as of Mar 15, 2019
Mar 30, 20122 then
RAUM -70% over the last fiscal year-55% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 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
unknownderivedHNW RAUM over HNW clients
Average account
$8.6MderivedRAUM 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
-70%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$34.3M, 4 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Pooled investment vehicles$34.3M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$34.3M for 4 clientsreported
Compensation
% of AUMreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• T•••••• S••••• E••••••••• L•no longer reportedOther Private Fund$144M1Mar 30, 2016
      W•••••••• P•••••••• L•Other Private Fund$30.8M48Dec 8, 2011
      W•••••••• R••••••• L•no longer reportedOther Private Fund$24.6M3Feb 2, 2017
      W•••••••• H•••••••• L•Other Private Fund$2.5M17Dec 8, 2011
      W•••••••• A••••• L•Other Private Fund$660,16812Mar 31, 2014
      W•••••••• E•••••••• L•Other Private Fund$362,3332Mar 27, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• T••••• N••• · Elected Manager, Member And Chief Compliance Officercontrol
        since 01/2011 · owns 10% to 25%
      • S••••• D••••• A••••• · Elected Manager, Member, Chairman And Chief Investment Officercontrol
        since 01/2011 · owns 25% to 50%
      • S••••• R••••••• M••• · Elected Manager, Member And Senior Advisorcontrol
        since 01/2011 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Mar 15, 2018 to Mar 15, 2019
      • Pooled vehicle clients · 3 to 4
        Mar 15, 2018 to Mar 15, 2019
      • Assets in custody · $116M to $34.3M
        Mar 15, 2018 to Mar 15, 2019
      • Discretionary RAUM · $116M to $34.3M
        Mar 15, 2018 to Mar 15, 2019
      • Pooled vehicle RAUM · $116M to $34.3M
        Mar 15, 2018 to Mar 15, 2019
      • RAUM · $116M to $34.3M
        Mar 15, 2018 to Mar 15, 2019
      • Accounts · 5 to 3
        Jul 3, 2017 to Mar 15, 2018
      • Advisory employees · 3 to 2
        Jul 3, 2017 to Mar 15, 2018
      • Advisory activities · 3 to 1
        Jul 3, 2017 to Mar 15, 2018
      • Charity clients · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • Corporate clients · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • HNW clients · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • Individual clients · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • Pension plan clients · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • Pooled vehicle clients · unset to 3.0
        Jul 3, 2017 to Mar 15, 2018
      • Assets in custody · $410M to $116M
        Jul 3, 2017 to Mar 15, 2018
      • Employees · 7 to 2
        Jul 3, 2017 to Mar 15, 2018
      • HQ city · BOSTON to unset
        Jul 3, 2017 to Mar 15, 2018
      • HQ state · MA to unset
        Jul 3, 2017 to Mar 15, 2018
      • Other offices · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • Private funds · 6 to 4
        Jul 3, 2017 to Mar 15, 2018
      • Discretionary RAUM · $410M to $116M
        Jul 3, 2017 to Mar 15, 2018
      • Pooled vehicle RAUM · unset to 116267000.0
        Jul 3, 2017 to Mar 15, 2018
      • RAUM · $410M to $116M
        Jul 3, 2017 to Mar 15, 2018
      • Advisory employees · 6 to 3
        Apr 26, 2017 to Jul 3, 2017
      • Employees · 9 to 7
        Apr 26, 2017 to Jul 3, 2017
      • Advisory employees · 8 to 6
        Mar 10, 2017 to Mar 20, 2017
      • Advisory activities · 2 to 3
        Mar 10, 2017 to Mar 20, 2017
      • Assets in custody · $397M to $410M
        Mar 10, 2017 to Mar 20, 2017
      • Employees · 11 to 9
        Mar 10, 2017 to Mar 20, 2017
      • Discretionary RAUM · $374M to $410M
        Mar 10, 2017 to Mar 20, 2017
      • RAUM · $374M to $410M
        Mar 10, 2017 to Mar 20, 2017
      • Advisory employees · 9 to 8
        Mar 30, 2016 to Feb 2, 2017
      • Assets in custody · $374M to $397M
        Mar 30, 2016 to Feb 2, 2017
      • Employees · 18 to 11
        Mar 30, 2016 to Feb 2, 2017
      • Private funds · 5 to 6
        Mar 30, 2016 to Feb 2, 2017
      • Accounts · 4 to 5
        Aug 6, 2015 to Mar 30, 2016
      • Advisory employees · 8 to 9
        Aug 6, 2015 to Mar 30, 2016
      • Advisory activities · 1 to 2
        Aug 6, 2015 to Mar 30, 2016
      • Assets in custody · $280M to $374M
        Aug 6, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • W•••••••• C•••••• M••••••••• L•• reported RAUM $116.3M, down 72% from $409.9M (2017-07-03 to 2018-03-15)
        Mar 15, 2018 · RAUM change · derived
      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