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Former SEC-registered adviser

O••• D••• C•••••• A••••••• •••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 158895SEC 801-72734IAPD
Latest filing Nov 11, 2015
First filing on the tape Feb 3, 2012 · 10 filings
RAUM
$435M
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
10
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$435M as of Mar 27, 2015
Feb 3, 2012$606M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 8, 20130 then
Employees (5.A)10 as of Mar 27, 2015
Mar 8, 201310 then
Private funds6 as of Mar 31, 2014
Feb 3, 20124 then
RAUM +3.9% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 11, 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
$72.4MderivedRAUM 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
+3.9%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
6reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• C•••• H••••••••• L•••no longer reportedHedge Fund$42.0M11Mar 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• C••••••• J•••• · Chief Compliance Officercontrol
        since 11/2015 · owns less than 5%
      • K•• S•••••• · Shareholdercontrol
        since 07/2011 · owns 25% to 50% of O••• S••••• I••••••••• L•••
      • R•••••• C••••••••• B•••••• · Shareholdercontrol
        since 07/2011 · owns 50% to 75% of A••••••••• I••••••••• L•••
      Entity owners
      • O••• D••• C•••••• M••••••••• L••• · Managing Member
        direct · owns 75% or more
      • A••••••••• I••••••••• L••• · Shareholder
        indirect · owns 50% to 75% of O••• D••• C•••••• M••••••••• L•••
      • O••• S••••• I••••••••• L••• · Shareholder
        indirect · owns 25% to 50% of O••• D••• C•••••• M••••••••• L•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 9 to 10
        Jul 2, 2014 to Mar 27, 2015
      • Discretionary RAUM · $396M to $435M
        Jul 2, 2014 to Mar 27, 2015
      • RAUM · $396M to $435M
        Jul 2, 2014 to Mar 27, 2015
      • Accounts · 7 to 6
        Mar 31, 2014 to Jul 2, 2014
      • Private funds · 6 to unset
        Mar 31, 2014 to Jul 2, 2014
      • Discretionary RAUM · $418M to $396M
        Mar 31, 2014 to Jul 2, 2014
      • RAUM · $418M to $396M
        Mar 31, 2014 to Jul 2, 2014
      • Accounts · 8 to 7
        May 21, 2013 to Mar 31, 2014
      • Advisory employees · 3 to 2
        May 21, 2013 to Mar 31, 2014
      • Advisory activities · 1 to 2
        May 21, 2013 to Mar 31, 2014
      • Employees · 10 to 9
        May 21, 2013 to Mar 31, 2014
      • Discretionary RAUM · $495M to $418M
        May 21, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $17.4M to $0
        May 21, 2013 to Mar 31, 2014
      • RAUM · $512M to $418M
        May 21, 2013 to Mar 31, 2014
      • Discretionary RAUM · $504M to $495M
        Mar 8, 2013 to May 21, 2013
      • Non-discretionary RAUM · $18.6M to $17.4M
        Mar 8, 2013 to May 21, 2013
      • RAUM · $522M to $512M
        Mar 8, 2013 to May 21, 2013
      • Accounts · 7 to 8
        Aug 24, 2012 to Mar 8, 2013
      • Advisory employees · unset to 3.0
        Aug 24, 2012 to Mar 8, 2013
      • Employees · unset to 10.0
        Aug 24, 2012 to Mar 8, 2013
      • State-registered IARs · unset to 0.0
        Aug 24, 2012 to Mar 8, 2013
      • Discretionary RAUM · $491M to $504M
        Aug 24, 2012 to Mar 8, 2013
      • Non-discretionary RAUM · $0 to $18.6M
        Aug 24, 2012 to Mar 8, 2013
      • RAUM · $491M to $522M
        Aug 24, 2012 to Mar 8, 2013
      • Accounts · 5 to 7
        Mar 13, 2012 to Aug 24, 2012
      • Private funds · 5 to 6
        Mar 13, 2012 to Aug 24, 2012
      • Discretionary RAUM · $574M to $491M
        Mar 13, 2012 to Aug 24, 2012
      • RAUM · $574M to $491M
        Mar 13, 2012 to Aug 24, 2012
      • Accounts · 4 to 5
        Feb 3, 2012 to Mar 13, 2012
      • Private funds · 4 to 5
        Feb 3, 2012 to Mar 13, 2012
      • Discretionary RAUM · $606M to $574M
        Feb 3, 2012 to Mar 13, 2012
      • RAUM · $606M to $574M
        Feb 3, 2012 to Mar 13, 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