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Former SEC-registered adviser

O••••• C••••••• L••

Former SEC-registered adviserCRD 159706SEC 801-73400IAPD
Latest filing Mar 7, 2016
First filing on the tape Feb 13, 2012 · 7 filings
RAUM
$1.2B
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
14
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$1.1B gross assets
History
7 filings and snapshots on the tape
RAUM$1.2B as of Mar 7, 2016
Mar 6, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2016
Mar 6, 20130 then
Employees (5.A)14 as of Mar 7, 2016
Mar 6, 201311 then
Private funds3 as of Mar 7, 2016
Mar 6, 20133 then
RAUM -1.9% over the last fiscal year+2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2016; 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
$194MderivedRAUM 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
-1.9%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
Custody
$1.2B, 6 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)
  • 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)
  • 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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.2B for 6 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O••••• C•••••• M••••• I• L••Hedge Fund$1.1B124Mar 6, 2013
      O••••• C•••••• O••••••• I• L•••no longer reportedHedge Fund$505M18Feb 13, 2012
      O••••• C•••••• D••••••• I• L•no longer reportedHedge Fund$384M32Feb 13, 2012
      O• O••••••• I••••••••• I•• S•• • S••••••••• P•••••••• B•Hedge Fund$10.6M3Mar 27, 2015
      O• O••••••• I••••••••• I•• S•• • S••••••••• P•••••••• A•Hedge Fund$6.5M26Mar 27, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• R••••••• M••• · Chief Compliance Officer/President/Member, O••••• C••••••• L••control
        since 02/2005 · owns 10% to 25%
      • L••••• D•••••• S••• · Cio/Managing Member, O••••• C••••••• L••control
        since 02/2005 · owns 75% or more
      Related persons
      Schedule D 7.A
      • O••••• C•••••• •••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 6
        Aug 3, 2015 to Mar 7, 2016
      • Advisory activities · 1 to 2
        Aug 3, 2015 to Mar 7, 2016
      • Assets in custody · $1.2B to $1.2B
        Aug 3, 2015 to Mar 7, 2016
      • HQ city · NEW YORK to unset
        Aug 3, 2015 to Mar 7, 2016
      • HQ state · NY to unset
        Aug 3, 2015 to Mar 7, 2016
      • Discretionary RAUM · $1.2B to $1.2B
        Aug 3, 2015 to Mar 7, 2016
      • RAUM · $1.2B to $1.2B
        Aug 3, 2015 to Mar 7, 2016
      • Related adviser · true to false
        Aug 3, 2015 to Mar 7, 2016
      • Accounts · 3 to 5
        Mar 25, 2014 to Mar 27, 2015
      • Assets in custody · unset to 1184400000.0
        Mar 25, 2014 to Mar 27, 2015
      • Custody of client assets · false to true
        Mar 25, 2014 to Mar 27, 2015
      • Employees · 11 to 14
        Mar 25, 2014 to Mar 27, 2015
      • Discretionary RAUM · $957M to $1.2B
        Mar 25, 2014 to Mar 27, 2015
      • RAUM · $957M to $1.2B
        Mar 25, 2014 to Mar 27, 2015
      • Related adviser · false to true
        Mar 25, 2014 to Mar 27, 2015
      • Related bank · false to true
        Mar 25, 2014 to Mar 27, 2015
      • Discretionary RAUM · $1.1B to $957M
        Mar 6, 2013 to Mar 25, 2014
      • RAUM · $1.1B to $957M
        Mar 6, 2013 to Mar 25, 2014
      • Accounts · 2 to 3
        Apr 2, 2012 to Mar 6, 2013
      • Advisory employees · unset to 5.0
        Apr 2, 2012 to Mar 6, 2013
      • BD registered reps · unset to 0.0
        Apr 2, 2012 to Mar 6, 2013
      • Employees · unset to 11.0
        Apr 2, 2012 to Mar 6, 2013
      • State-registered IARs · unset to 0.0
        Apr 2, 2012 to Mar 6, 2013
      • Private funds · 2 to 3
        Apr 2, 2012 to Mar 6, 2013
      • Discretionary RAUM · $1.6B to $1.1B
        Apr 2, 2012 to Mar 6, 2013
      • RAUM · $1.6B to $1.1B
        Apr 2, 2012 to Mar 6, 2013
      • Discretionary RAUM · $1.5B to $1.6B
        Feb 13, 2012 to Apr 2, 2012
      • RAUM · $1.5B to $1.6B
        Feb 13, 2012 to Apr 2, 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