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S•••• C••••••

Former SEC-registered adviserFormer SEC adviser3 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $47.8M of regulatory assets.

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

Last reported RAUM
$47.8M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+1.9%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 12.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 160709 · SEC 801-74006 · 3 filingsShow
CRD 160709SEC 801-74006Legal name S•••• C•••••• L••First filing on the tape Feb 14, 2012, latest Mar 7, 2014IAPD
RAUM
$47.8M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$95.6M gross assets
History
3 filings and snapshots on the tape
RAUM$47.8M as of Mar 7, 2014
Feb 6, 2013$46.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2014
Feb 6, 20130 then
Employees (5.A)5 as of Mar 7, 2014
Feb 6, 20136 then
Private funds3 as of Mar 7, 2014
Feb 6, 20133 then
RAUM +1.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 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
$23.9MderivedRAUM 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
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
2reported
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
      S•••• C•••••• M••••• F••• L••Hedge Fund$47.8M4Feb 14, 2012
      S•••• C•••••• F••• L••Hedge Fund$39.0M1Feb 14, 2012
      S•••• C•••••• F••• L•Hedge Fund$8.8M3Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• C••••• · Directorcontrol
        since 02/2011 · owns 25% to 50%
      • S•••••• S••••• · Chief Executive Officercontrol
        since 02/2011 · owns 50% to 75%
      • R•••••• J•••• J••••• · Cco
        since 01/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • S•••• C•••••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 6 to 5
        Feb 6, 2013 to Mar 7, 2014
      • Discretionary RAUM · $46.9M to $47.8M
        Feb 6, 2013 to Mar 7, 2014
      • RAUM · $46.9M to $47.8M
        Feb 6, 2013 to Mar 7, 2014
      • Advisory employees · unset to 3.0
        Feb 14, 2012 to Feb 6, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Feb 6, 2013
      • Employees · unset to 6.0
        Feb 14, 2012 to Feb 6, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Feb 6, 2013
      • Discretionary RAUM · $37.3M to $46.9M
        Feb 14, 2012 to Feb 6, 2013
      • RAUM · $37.3M to $46.9M
        Feb 14, 2012 to Feb 6, 2013
      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