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N•••• C•••••• M••••••••• A•••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Sunny Isles Beach, Florida

Former SEC-registered adviser, based in Sunny Isles Beach, Florida, reporting $26.5M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$26.5M
Form ADV
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 159111 · SEC 801-119853 · 16 filingsShow
CRD 159111SEC 801-119853First filing on the tape Dec 9, 2011, latest Apr 2, 2021IAPD
RAUM
$26.5M
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
Not computed
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$27.0M gross assets
History
16 filings and snapshots on the tape

RAUM +2.8% a year over three years · the tape starts Dec 9, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$26.5M as of Apr 2, 2021
Mar 5, 2012$393M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2021
Feb 6, 20130 then
Employees (5.A)5 as of Apr 2, 2021
Feb 6, 20136 then
Private funds1 as of Apr 2, 2021
Mar 5, 20121 then
RAUM n/a over the last fiscal year+2.8% a year over three
Practice profile
derived from the filing of Apr 2, 2021; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$26.5MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$26.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V•••• C•••••• M••••••••• M••••• F•••• L•••no longer reportedHedge Fund$147M7Dec 9, 2011
      V•••• C•••••• M••••••••• F•••• L•Hedge Fund$27.0M2Feb 6, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• C••••••••• R••• · Chief Operations Officer/Chief Compliance Officer/General Counselcontrol
        since 03/2009 · owns less than 5%
      • H•••••• J•••••• M••• · Managing Member/Chief Executive Officer/Ownercontrol
        since 06/2007 · owns 75% or more
      • S•••••••• E••••• · Chief Technical Officercontrol
        since 02/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••••••• R••• B••••
        n
      • J••••• M• H•••••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employee
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $27.0M to $26.5M
        Oct 23, 2020 to Apr 2, 2021
      • Pooled vehicle RAUM · $27.0M to $26.5M
        Oct 23, 2020 to Apr 2, 2021
      • RAUM · $27.0M to $26.5M
        Oct 23, 2020 to Apr 2, 2021
      • Discretionary RAUM · $25.0M to $27.0M
        Mar 25, 2019 to Oct 23, 2020
      • Pooled vehicle RAUM · $25.0M to $27.0M
        Mar 25, 2019 to Oct 23, 2020
      Full history · 50 changes
      • RAUM · $25.0M to $27.0M
        Mar 25, 2019 to Oct 23, 2020
      • Accounts · 2 to 1
        Mar 1, 2018 to Mar 25, 2019
      • Financial planning clients · unset to 0
        Mar 1, 2018 to Mar 25, 2019
      • Discretionary RAUM · $24.4M to $25.0M
        Mar 1, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $24.4M to $25.0M
        Mar 1, 2018 to Mar 25, 2019
      • RAUM · $24.4M to $25.0M
        Mar 1, 2018 to Mar 25, 2019
      • Accounts · 3 to 2
        Feb 9, 2017 to Mar 1, 2018
      • Pooled vehicle clients · unset to 1.0
        Feb 9, 2017 to Mar 1, 2018
      • Other offices · unset to 1.0
        Feb 9, 2017 to Mar 1, 2018
      • Discretionary RAUM · $63.6M to $24.4M
        Feb 9, 2017 to Mar 1, 2018
      • Pooled vehicle RAUM · unset to 24400307.0
        Feb 9, 2017 to Mar 1, 2018
      • RAUM · $63.6M to $24.4M
        Feb 9, 2017 to Mar 1, 2018
      • Discretionary RAUM · $62.1M to $63.6M
        Feb 5, 2016 to Feb 9, 2017
      • RAUM · $62.1M to $63.6M
        Feb 5, 2016 to Feb 9, 2017
      • Advisory employees · 6 to 4
        Feb 6, 2015 to Feb 5, 2016
      • Employees · 6 to 5
        Feb 6, 2015 to Feb 5, 2016
      • Discretionary RAUM · $259M to $62.1M
        Feb 6, 2015 to Feb 5, 2016
      • RAUM · $259M to $62.1M
        Feb 6, 2015 to Feb 5, 2016
      • BD registered reps · 3 to 0
        Mar 4, 2014 to Jan 9, 2015
      • Discretionary RAUM · $324M to $259M
        Mar 4, 2014 to Jan 9, 2015
      • RAUM · $324M to $259M
        Mar 4, 2014 to Jan 9, 2015
      • Related broker-dealer · true to false
        Mar 4, 2014 to Jan 9, 2015
      • Discretionary RAUM · $181M to $324M
        Mar 27, 2013 to Mar 4, 2014
      • RAUM · $181M to $324M
        Mar 27, 2013 to Mar 4, 2014
      • Succession · true to false
        Mar 27, 2013 to Mar 4, 2014
      • Business name · N•••• C•••••• M••••••••• L••• to N•••• C•••••• M••••••••• A•••••••• L••
        Feb 6, 2013 to Mar 27, 2013
      • Legal name · N•••• C•••••• M••••••••• L••• to N•••• C•••••• M••••••••• A•••••••• L••
        Feb 6, 2013 to Mar 27, 2013
      • Succession · false to true
        Feb 6, 2013 to Mar 27, 2013
      • Advisory employees · unset to 6.0
        Aug 20, 2012 to Feb 6, 2013
      • Advisory activities · 2 to 1
        Aug 20, 2012 to Feb 6, 2013
      • BD registered reps · unset to 3.0
        Aug 20, 2012 to Feb 6, 2013
      • Assets in custody · 146588613.0 to unset
        Aug 20, 2012 to Feb 6, 2013
      • Custody of client assets · true to false
        Aug 20, 2012 to Feb 6, 2013
      • Employees · unset to 6.0
        Aug 20, 2012 to Feb 6, 2013
      • State-registered IARs · unset to 0.0
        Aug 20, 2012 to Feb 6, 2013
      • Organization form · Corporation to Limited Liability Company
        Aug 20, 2012 to Feb 6, 2013
      • Discretionary RAUM · $393M to $181M
        Aug 20, 2012 to Feb 6, 2013
      • RAUM · $393M to $181M
        Aug 20, 2012 to Feb 6, 2013
      • Assets in custody · unset to 146588613.0
        Dec 21, 2011 to Mar 5, 2012
      • Custody of client assets · false to true
        Dec 21, 2011 to Mar 5, 2012
      • Discretionary RAUM · $101M to $393M
        Dec 21, 2011 to Mar 5, 2012
      • RAUM · $101M to $393M
        Dec 21, 2011 to Mar 5, 2012
      • Organization form · Other (specify) to Corporation
        Dec 9, 2011 to Dec 21, 2011
      • Business name · N•••• C•••••• M••••••••• L••• to N•••• C•••••• M••••••••• L•••
        Dec 9, 2011 to Dec 9, 2011
      • Legal name · N•••• C•••••• M••••••••• L••• to N•••• C•••••• M••••••••• L•••
        Dec 9, 2011 to Dec 9, 2011
      Signals
      2 dated events
      • ••• Locked
        Oct 23, 2020 · First SEC registration · fact
      • ••• Locked
        Mar 27, 2013 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026