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Former SEC-registered adviser

O•• C•••••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 159137SEC 801-72766IAPD
Latest filing Feb 21, 2014
First filing on the tape Feb 21, 2012 · 7 filings
RAUM
$290M
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
12
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$383M gross assets
History
7 filings and snapshots on the tape
RAUM$290M as of Jun 19, 2013
Jun 21, 2012$520M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 19, 2013
Jun 21, 20120 then
Employees (5.A): 12
Private funds3 as of Jun 19, 2013
Jun 21, 20122 then
RAUM -44% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 21, 2014; 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
$72.5MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-44%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 vehicles, portfolio management for investment companiesreportedItem 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)
  • 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
4reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•• C•••••• M••••• F•••Hedge Fund$192M20Jan 29, 2013
      O•• C•••••• F•••Hedge Fund$163M19Feb 21, 2012
      O•• C•••••• F••• L•••Hedge Fund$28.5M5Feb 21, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• N•••••••• A••••••• · Membercontrol
        since 07/2011 · owns less than 5%
      • M••••••• S•••••• V••••••• · Membercontrol
        since 08/2010 · owns less than 5%
      • M••••••• A•••••• L••••• · Member, Chief Compliance Officercontrol
        since 08/2010 · owns less than 5%
      • T••••••• A•••• J••• S••••• · Membercontrol
        since 08/2010 · owns less than 5%
      • M••••••• S•••••• V••••••• · Shareholdercontrol
        since 08/2010 · owns 75% or more of O•• C•••••• L••••••
      Entity owners
      • O•• C•••••• L•••••• · Managing Member
        direct · owns 75% or more
      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
      • Advisory employees · 6 to 5
        Jan 29, 2013 to Jun 19, 2013
      • Discretionary RAUM · $520M to $290M
        Jan 29, 2013 to Jun 19, 2013
      • RAUM · $520M to $290M
        Jan 29, 2013 to Jun 19, 2013
      • Advisory employees · unset to 6.0
        Aug 6, 2012 to Jan 29, 2013
      • Employees · unset to 12.0
        Aug 6, 2012 to Jan 29, 2013
      • Private funds · 2 to 3
        Aug 6, 2012 to Jan 29, 2013
      • Discretionary RAUM · $340M to $520M
        Feb 21, 2012 to Jun 21, 2012
      • RAUM · $340M to $520M
        Feb 21, 2012 to Jun 21, 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