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A••••••• C••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· Marina Del Rey, California

Former SEC-registered adviser, based in Marina Del Rey, California, reporting $419M of regulatory assets.

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

Last reported RAUM
$419M
Form ADV
RAUM change, 1 year
-45%
Form ADV, consecutive annual filings
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. Last change: 16 Mar 2021, RAUM $755M to $419M (-44.6%) on the Form ADV filed 16 Mar 2021.

Every filed figure, and the identifiersCRD 159883 · SEC 801-73123 · 11 filingsShow
CRD 159883SEC 801-73123First filing on the tape Jan 31, 2012, latest Mar 16, 2021IAPD
RAUM
$419M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$311M gross assets
History
11 filings and snapshots on the tape

RAUM -9.0% a year over three years · the tape starts Jan 31, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$419M as of Mar 16, 2021
Mar 6, 2013$407M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2021
Mar 6, 20130 then
Employees (5.A)4 as of Mar 16, 2021
Mar 6, 20132 then
Private funds3 as of Mar 16, 2021
Mar 6, 20133 then
RAUM -45% over the last fiscal year-9.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 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
$105MderivedRAUM 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
-45%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
$311M, 3 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)
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$311M100%
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
$311M for 3 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• O••••••• M••••• F•••• L•Hedge Fund$154M2Mar 6, 2013
      S••••••• L•Hedge Fund$130M2Mar 23, 2018
      A••••••• S••••••• L•Hedge Fund$120M2Mar 6, 2013
      A••••••• P•••••••• L•Hedge Fund$60.7M6Mar 6, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• C••••••••• L••••• · Managing Membercontrol
        since 01/2009 · owns 75% or more
      • E••••• I•••• •••• · Chief Compliance Officer
        since 01/2012 · owns less than 5%
      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
      • Accounts · 5 to 4
        Mar 25, 2020 to Mar 16, 2021
      • Pooled vehicle clients · 4 to 3
        Mar 25, 2020 to Mar 16, 2021
      • Assets in custody · $755M to $311M
        Mar 25, 2020 to Mar 16, 2021
      • Private funds · 4 to 3
        Mar 25, 2020 to Mar 16, 2021
      • Discretionary RAUM · $755M to $419M
        Mar 25, 2020 to Mar 16, 2021
      Full history · 54 changes
      • Pooled vehicle RAUM · $755M to $311M
        Mar 25, 2020 to Mar 16, 2021
      • RAUM · $755M to $419M
        Mar 25, 2020 to Mar 16, 2021
      • Advisory employees · 2 to 3
        Mar 25, 2019 to Mar 25, 2020
      • Assets in custody · $718M to $755M
        Mar 25, 2019 to Mar 25, 2020
      • Employees · 3 to 4
        Mar 25, 2019 to Mar 25, 2020
      • Other offices · 1 to 0
        Mar 25, 2019 to Mar 25, 2020
      • Discretionary RAUM · $718M to $755M
        Mar 25, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $718M to $755M
        Mar 25, 2019 to Mar 25, 2020
      • RAUM · $718M to $755M
        Mar 25, 2019 to Mar 25, 2020
      • Assets in custody · unset to 718423002.0
        Mar 23, 2018 to Mar 25, 2019
      • Custody of client assets · false to true
        Mar 23, 2018 to Mar 25, 2019
      • Discretionary RAUM · $555M to $718M
        Mar 23, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $555M to $718M
        Mar 23, 2018 to Mar 25, 2019
      • RAUM · $555M to $718M
        Mar 23, 2018 to Mar 25, 2019
      • Accounts · 4 to 5
        Mar 14, 2017 to Mar 23, 2018
      • Advisory employees · 1 to 2
        Mar 14, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 14, 2017 to Mar 23, 2018
      • Assets in custody · 400571567.0 to unset
        Mar 14, 2017 to Mar 23, 2018
      • Custody of client assets · true to false
        Mar 14, 2017 to Mar 23, 2018
      • Employees · 2 to 3
        Mar 14, 2017 to Mar 23, 2018
      • Other offices · unset to 1.0
        Mar 14, 2017 to Mar 23, 2018
      • Private funds · 3 to 4
        Mar 14, 2017 to Mar 23, 2018
      • Discretionary RAUM · $401M to $555M
        Mar 14, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 555391907.0
        Mar 14, 2017 to Mar 23, 2018
      • RAUM · $401M to $555M
        Mar 14, 2017 to Mar 23, 2018
      • Assets in custody · $447M to $401M
        Mar 7, 2016 to Mar 14, 2017
      • Discretionary RAUM · $447M to $401M
        Mar 7, 2016 to Mar 14, 2017
      • RAUM · $447M to $401M
        Mar 7, 2016 to Mar 14, 2017
      • Advisory employees · 2 to 1
        Mar 13, 2015 to Mar 7, 2016
      • Assets in custody · $441M to $447M
        Mar 13, 2015 to Mar 7, 2016
      • Employees · 3 to 2
        Mar 13, 2015 to Mar 7, 2016
      • Discretionary RAUM · $441M to $447M
        Mar 13, 2015 to Mar 7, 2016
      • RAUM · $441M to $447M
        Mar 13, 2015 to Mar 7, 2016
      • Assets in custody · $400M to $441M
        Mar 20, 2014 to Mar 13, 2015
      • Discretionary RAUM · $400M to $441M
        Mar 20, 2014 to Mar 13, 2015
      • RAUM · $400M to $441M
        Mar 20, 2014 to Mar 13, 2015
      • Advisory employees · 1 to 2
        Mar 6, 2013 to Mar 20, 2014
      • Assets in custody · $407M to $400M
        Mar 6, 2013 to Mar 20, 2014
      • Employees · 2 to 3
        Mar 6, 2013 to Mar 20, 2014
      • Discretionary RAUM · $407M to $400M
        Mar 6, 2013 to Mar 20, 2014
      • RAUM · $407M to $400M
        Mar 6, 2013 to Mar 20, 2014
      • Advisory employees · unset to 1.0
        Feb 6, 2012 to Mar 6, 2013
      • BD registered reps · unset to 0.0
        Feb 6, 2012 to Mar 6, 2013
      • Assets in custody · $284M to $407M
        Feb 6, 2012 to Mar 6, 2013
      • Employees · unset to 2.0
        Feb 6, 2012 to Mar 6, 2013
      • State-registered IARs · unset to 0.0
        Feb 6, 2012 to Mar 6, 2013
      • Private funds · unset to 3
        Feb 6, 2012 to Mar 6, 2013
      • Discretionary RAUM · $284M to $407M
        Feb 6, 2012 to Mar 6, 2013
      • RAUM · $284M to $407M
        Feb 6, 2012 to Mar 6, 2013
      Signals
      3 dated events
      • ••• Locked
        Mar 16, 2021 · RAUM change · derived
      • ••• Locked
        Mar 25, 2019 · RAUM change · derived
      • ••• Locked
        Mar 23, 2018 · RAUM change · derived
      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