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Former SEC-registered adviser

S•• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 159552SEC 801-78229IAPD
Latest filing Mar 27, 2018
First filing on the tape Jun 14, 2013 · 7 filings
RAUM
$129M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$129M gross assets
History
7 filings and snapshots on the tape
RAUM$129M as of Mar 27, 2018
Mar 31, 2014$285M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 31, 20140 then
Employees (5.A)4 as of Mar 27, 2018
Mar 31, 20149 then
Private funds1 as of Mar 27, 2018
Mar 31, 20142 then
RAUM -20% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2018; 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
$129MderivedRAUM 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
-20%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 pooled vehiclesreportedItem 5.G
Custody
$129M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Pooled investment vehicles$129M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$129M for 1 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•• I••••••••• L•Hedge Fund$129M20Mar 27, 2012
      S•• O••••••• F•••• L••no longer reportedHedge Fund$6.2M2Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••••• S•••••• J••• · Chief Financial Officer/Chief Compliance Officercontrol
        since 05/1999 · owns less than 5%
      • S•••• S••••• L••••••• · Managing Membercontrol
        since 04/1999 · owns 75% or more
      Related persons
      Schedule D 7.A
      • S•• C••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 28, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 28, 2017 to Mar 27, 2018
      • Assets in custody · $0 to $129M
        Mar 28, 2017 to Mar 27, 2018
      • Employees · 6 to 4
        Mar 28, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 27, 2018
      • Discretionary RAUM · $162M to $129M
        Mar 28, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 129358000.0
        Mar 28, 2017 to Mar 27, 2018
      • RAUM · $162M to $129M
        Mar 28, 2017 to Mar 27, 2018
      • Discretionary RAUM · $140M to $162M
        Jan 17, 2017 to Mar 28, 2017
      • RAUM · $140M to $162M
        Jan 17, 2017 to Mar 28, 2017
      • Accounts · 7 to 1
        Mar 30, 2015 to Mar 28, 2016
      • Advisory employees · 4 to 3
        Mar 30, 2015 to Mar 28, 2016
      • Advisory activities · 3 to 1
        Mar 30, 2015 to Mar 28, 2016
      • Employees · 9 to 6
        Mar 30, 2015 to Mar 28, 2016
      • Discretionary RAUM · $378M to $140M
        Mar 30, 2015 to Mar 28, 2016
      • RAUM · $378M to $140M
        Mar 30, 2015 to Mar 28, 2016
      • Accounts · 5 to 7
        Mar 31, 2014 to Mar 30, 2015
      • Advisory activities · 2 to 3
        Mar 31, 2014 to Mar 30, 2015
      • Private funds · 2 to 1
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $285M to $378M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $285M to $378M
        Mar 31, 2014 to Mar 30, 2015
      • Related adviser · false to true
        Mar 31, 2014 to Mar 30, 2015
      • Related bank · false to true
        Mar 31, 2014 to Mar 30, 2015
      • Accounts · 3 to 5
        Jun 14, 2013 to Mar 31, 2014
      • Advisory activities · 1 to 2
        Jun 14, 2013 to Mar 31, 2014
      • Private funds · 4 to 2
        Jun 14, 2013 to Mar 31, 2014
      • Discretionary RAUM · $231M to $285M
        Jun 14, 2013 to Mar 31, 2014
      • RAUM · $231M to $285M
        Jun 14, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • S•• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 14, 2013 · First SEC registration · 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
      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