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Former SEC-registered adviser

M• A•••• M••••••••• H•••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 159154SEC 801-72784IAPD
Latest filing Jun 22, 2015
First filing on the tape Jan 27, 2012 · 12 filings
RAUM
$175M
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
21
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$175M gross assets
History
12 filings and snapshots on the tape
RAUM$175M as of Jun 22, 2015
May 8, 2012$168M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 22, 2015
May 8, 20120 then
Employees (5.A)21 as of Jun 22, 2015
Jun 28, 201328 then
Private funds5 as of Jun 22, 2015
May 8, 20124 then
RAUM -7.6% over the last fiscal year+1.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 22, 2015; every figure names its basis
RAUM per advisor
$175MderivedRAUM 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
$25.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
21.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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, publicationsreportedItem 5.G
Custody
$175M, 7 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$175M for 7 clientsreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M• C••••••• M••••• F••• L•••Hedge Fund$67.2M12Jan 27, 2012
      M• C••••• P••••••• F•••• I•••no longer reportedPrivate Equity Fund$59.5M2May 8, 2012
      S••••• S•••••• T••••Hedge Fund$32.2M1Jan 27, 2012
      M• C••••••• I••••••••• T•••• I•Hedge Fund$30.3M1Jan 27, 2012
      M• C••••••• T•••• R••••• T••••Hedge Fund$25.5M1Apr 11, 2014
      M• C••••••• I••••••••• T•••• I•Hedge Fund$20.2M1Apr 16, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• P••••••• D•••• · Member - Board Of Managerscontrol
        since 07/2012 · owns less than 5%
      • I•••••••• H••••••• · Member - Board Of Managerscontrol
        since 03/2015 · owns less than 5%
      • M••••• M•••••••• •••• · Member - Board Of Managerscontrol
        since 04/2013 · owns less than 5%
      • O••••••• N••••• · Member - Board Of Managerscontrol
        since 02/2014 · owns less than 5%
      • R••• V•••••• V•••••• · Chief Compliance Officercontrol
        since 04/2014 · owns less than 5%
      • U•••• J••••• · Member - Board Of Managerscontrol
        since 02/2014 · owns less than 5%
      Entity owners
      • M• A•••• M••••••••• H•••••••• I••• · Member
        direct · owns 75% or more
      • M••••••••• C••••••••• · Member
        indirect · owns 75% or more of Mc Asset Management Holdings Inc.
      Related persons
      Schedule D 7.A
      • A••••••••• I••••••••• C•••••• L••••••
        investment adviserpooled vehicle sponsorLP sponsorn
      • C••••••• A••••••• L••
        investment advisery
      • C••••••• M••••••••• ••••••••• L••
        investment adviserpooled vehicle sponsory
      • M• A•••• M••••••••• A•••••••• L•••
        broker-dealery
      • M• A•••• M••••••••• A••• L••••••
        broker-dealern
      • M• A•••• M••••••••• E••••• L••••••
        broker-dealerinvestment adviserbankn
      • M••••••••• C••••••••• A•••• M••••••••• L•••
        broker-dealerinvestment adviserbankpooled vehicle sponsorLP sponsorn
      • Aksia Ca LLC
        investment adviserLP sponsornRAUM $2.1B
      Advisers that list M• A•••• M••••••••• H•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $190M to $175M
        Jun 26, 2014 to Jun 22, 2015
      • Employees · 22 to 21
        Jun 26, 2014 to Jun 22, 2015
      • Discretionary RAUM · $190M to $175M
        Jun 26, 2014 to Jun 22, 2015
      • RAUM · $190M to $175M
        Jun 26, 2014 to Jun 22, 2015
      • BD registered reps · 5 to 7
        Apr 11, 2014 to Jun 26, 2014
      • Assets in custody · $188M to $190M
        Apr 11, 2014 to Jun 26, 2014
      • Discretionary RAUM · $188M to $190M
        Apr 11, 2014 to Jun 26, 2014
      • RAUM · $188M to $190M
        Apr 11, 2014 to Jun 26, 2014
      • Accounts · 6 to 7
        Dec 17, 2013 to Apr 11, 2014
      • BD registered reps · 3 to 5
        Dec 17, 2013 to Apr 11, 2014
      • Assets in custody · $169M to $188M
        Dec 17, 2013 to Apr 11, 2014
      • Employees · 25 to 22
        Dec 17, 2013 to Apr 11, 2014
      • Private funds · 4 to 5
        Dec 17, 2013 to Apr 11, 2014
      • Discretionary RAUM · $169M to $188M
        Dec 17, 2013 to Apr 11, 2014
      • RAUM · $169M to $188M
        Dec 17, 2013 to Apr 11, 2014
      • Advisory activities · 2 to 3
        Jun 28, 2013 to Dec 17, 2013
      • BD registered reps · 2 to 3
        Jun 28, 2013 to Dec 17, 2013
      • Assets in custody · $153M to $169M
        Jun 28, 2013 to Dec 17, 2013
      • Employees · 28 to 25
        Jun 28, 2013 to Dec 17, 2013
      • State-registered IARs · 2 to 1
        Jun 28, 2013 to Dec 17, 2013
      • Discretionary RAUM · $153M to $169M
        Jun 28, 2013 to Dec 17, 2013
      • RAUM · $153M to $169M
        Jun 28, 2013 to Dec 17, 2013
      • BD registered reps · 1 to 2
        Apr 30, 2013 to Jun 28, 2013
      • Assets in custody · $151M to $153M
        Apr 30, 2013 to Jun 28, 2013
      • Employees · 26 to 28
        Apr 30, 2013 to Jun 28, 2013
      • State-registered IARs · 1 to 2
        Apr 30, 2013 to Jun 28, 2013
      • Discretionary RAUM · $151M to $153M
        Apr 30, 2013 to Jun 28, 2013
      • RAUM · $151M to $153M
        Apr 30, 2013 to Jun 28, 2013
      • Advisory employees · unset to 3.0
        May 8, 2012 to Apr 16, 2013
      • BD registered reps · 0 to 1
        May 8, 2012 to Apr 16, 2013
      • Assets in custody · $168M to $151M
        May 8, 2012 to Apr 16, 2013
      • Employees · unset to 26.0
        May 8, 2012 to Apr 16, 2013
      • State-registered IARs · 0 to 1
        May 8, 2012 to Apr 16, 2013
      • Discretionary RAUM · $109M to $151M
        May 8, 2012 to Apr 16, 2013
      • Non-discretionary RAUM · $59.5M to $0
        May 8, 2012 to Apr 16, 2013
      • RAUM · $168M to $151M
        May 8, 2012 to Apr 16, 2013
      • Accounts · 5 to 6
        Feb 6, 2012 to May 8, 2012
      • Advisory activities · 1 to 2
        Feb 6, 2012 to May 8, 2012
      • Assets in custody · unset to 168289456.0
        Feb 6, 2012 to May 8, 2012
      • Custody of client assets · false to true
        Feb 6, 2012 to May 8, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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