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Former SEC-registered adviser

D••••••• C••••••••• M••••••••• S•••

Former SEC-registered adviserRenens, CRD 158477SEC 801-72615IAPD
Latest filing Mar 2, 2016
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$578M
reported, Item 5.F
Discretionary
64%
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
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$20.3M gross assets
History
8 filings and snapshots on the tape
RAUM$578M as of Mar 2, 2016
Mar 30, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 2, 2016
Mar 21, 20130 then
Employees (5.A)18 as of Mar 2, 2016
Mar 21, 201329 then
Private funds1 as of Mar 2, 2016
Mar 30, 20125 then
RAUM -32% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 2016; 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
$38.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
64%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
-32%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
  • 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)
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
15reported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••••• C••••••••• I•••• E••••••• F•••no longer reportedOther Private Fund$196M30Mar 30, 2012
      D••••••• C••• M••••••••• F•••no longer reportedOther Private Fund$146M3Sep 14, 2012
      D••••••• C•••• O•••••••• F•••no longer reportedOther Private Fund$100M4Mar 30, 2012
      D••••••• R••••••• V•••• P•••••••• I••••••• F••• L••Hedge Fund$20.3M1Mar 20, 2014
      D••••••• C••••••••• A••••••••• I•••• F•••no longer reportedOther Private Fund$13.8M20Mar 30, 2012
      D••••••• C••••••••• I•••• F•••no longer reportedOther Private Fund$6.7M13Mar 30, 2012
      D••••••• C••••••••• A••••••••• N•••••• I•••• F•••no longer reportedOther Private Fund$3.5M10Mar 30, 2012
      D••••••• R••••••• V•••• P•••••••• I••••••• F•••no longer reportedOther Private Fund$2.2M2Mar 21, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• O••••••• N•• · Chief Financial Officercontrol
        since 08/2008 · owns less than 5%
      • D••••••••• E•••• N•• · Co-Ceo, Chief Operation Officercontrol
        since 01/2009 · owns less than 5%
      • L• F••• G••••••••• N•• · Ceocontrol
        since 01/2009 · owns 10% to 25%
      • M••••••• L•••••• N•• · Presidentcontrol
        since 01/2009 · owns 25% to 50%
      • W•••••• S••••••• E••••• · Ownercontrol
        since 07/2004 · owns 25% to 50%
      • D••••••••• S•••••••• N•• · Board Member
        since 03/2008 · owns less than 5%
      Related persons
      Schedule D 7.A
      • D••••••• C••••••••• M••••••••• U• L••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 20 to 15
        Feb 26, 2015 to Mar 2, 2016
      • HQ city · PRILLY to RENENS
        Feb 26, 2015 to Mar 2, 2016
      • Discretionary RAUM · $677M to $368M
        Feb 26, 2015 to Mar 2, 2016
      • Non-discretionary RAUM · $174M to $210M
        Feb 26, 2015 to Mar 2, 2016
      • RAUM · $851M to $578M
        Feb 26, 2015 to Mar 2, 2016
      • Advisory employees · 12 to 9
        Mar 20, 2014 to Feb 26, 2015
      • Employees · 26 to 18
        Mar 20, 2014 to Feb 26, 2015
      • Discretionary RAUM · $992M to $677M
        Mar 20, 2014 to Feb 26, 2015
      • Non-discretionary RAUM · $361M to $174M
        Mar 20, 2014 to Feb 26, 2015
      • RAUM · $1.4B to $851M
        Mar 20, 2014 to Feb 26, 2015
      • Accounts · 17 to 20
        Apr 30, 2013 to Mar 20, 2014
      • Employees · 29 to 26
        Apr 30, 2013 to Mar 20, 2014
      • Private funds · unset to 1
        Apr 30, 2013 to Mar 20, 2014
      • Discretionary RAUM · $1.2B to $992M
        Apr 30, 2013 to Mar 20, 2014
      • Non-discretionary RAUM · $434M to $361M
        Apr 30, 2013 to Mar 20, 2014
      • RAUM · $1.7B to $1.4B
        Apr 30, 2013 to Mar 20, 2014
      • Private funds · 6 to unset
        Mar 21, 2013 to Apr 30, 2013
      • Accounts · 20 to 17
        Sep 14, 2012 to Mar 21, 2013
      • Advisory employees · unset to 12.0
        Sep 14, 2012 to Mar 21, 2013
      • Employees · unset to 29.0
        Sep 14, 2012 to Mar 21, 2013
      • State-registered IARs · unset to 0.0
        Sep 14, 2012 to Mar 21, 2013
      • Discretionary RAUM · $1.2B to $1.2B
        Sep 14, 2012 to Mar 21, 2013
      • Non-discretionary RAUM · $983M to $434M
        Sep 14, 2012 to Mar 21, 2013
      • RAUM · $2.2B to $1.7B
        Sep 14, 2012 to Mar 21, 2013
      • Private funds · 5 to 6
        Apr 17, 2012 to Sep 14, 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