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Former SEC-registered adviser

S••• A•••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 160890SEC 801-107592IAPD
Latest filing Apr 17, 2018
First filing on the tape Mar 29, 2016 · 7 filings
RAUM
$58.1M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$6.1M gross assets
History
7 filings and snapshots on the tape
RAUM$58.1M as of Mar 14, 2018
Mar 8, 2017$40.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2018
Mar 8, 20170 then
Employees (5.A)2 as of Mar 14, 2018
Mar 8, 20172 then
Private funds1 as of Mar 14, 2018
Mar 8, 20171 then
RAUM +42% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 17, 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
$29.1MderivedRAUM 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
+42%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$58.1M100%
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
fixed, 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••• M••••• I••••••••• L•••no longer reportedHedge Fund$62.6M39Mar 27, 2012
      S••• O••••••••• F••• •••• L•••Hedge Fund$6.1M8Mar 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• B••••• G••••• · Limited Partner / Portfolio Manager/Chief Compliance Officercontrol
        since 04/1997 · owns 25% to 50%
      • H•••••• B••••• G••••• · Trusteecontrol
        since 12/2012 · owns F of T•••• F•• B•••• G• H••••• A•• D••••••••• U•• 1•••••••
      • H•••••• B••••• G••••• · Presidentcontrol
        since 01/2008 · owns 50% to 75% of S••• A•••• I•••
      • H•••••• J•••• T••••• · Trusteecontrol
        since 12/2012 · owns F of T•••• F•• J••• T• H••••• A•• D••••••••• U•• 1•••••••
      Entity owners
      • S••• A•••• I••• · General Partner
        direct · owns less than 5%
      • T•••• F•• B•••• G• H••••• A•• D••••••••• U•• 1••••••• · Limited Partner
        direct · owns 25% to 50%
      • T•••• F•• J••• T• H••••• A•• D••••••••• U•• 1••••••• · Limited Partner
        direct · owns 25% to 50%
      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
      • Pooled vehicle clients · unset to 2.0
        Sep 13, 2017 to Mar 14, 2018
      • Other offices · unset to 0.0
        Sep 13, 2017 to Mar 14, 2018
      • Discretionary RAUM · $40.9M to $58.1M
        Sep 13, 2017 to Mar 14, 2018
      • Pooled vehicle RAUM · unset to 58109606.0
        Sep 13, 2017 to Mar 14, 2018
      • RAUM · $40.9M to $58.1M
        Sep 13, 2017 to Mar 14, 2018
      • Advisory activities · 1 to 2
        Mar 8, 2017 to Sep 13, 2017
      • Assets in custody · $743,717 to $0
        Jun 22, 2016 to Mar 8, 2017
      • Custody of client assets · true to false
        Jun 22, 2016 to Mar 8, 2017
      • Discretionary RAUM · $40.8M to $40.9M
        Jun 22, 2016 to Mar 8, 2017
      • RAUM · $40.8M to $40.9M
        Jun 22, 2016 to Mar 8, 2017
      • Private funds · 2 to 1
        Mar 29, 2016 to Mar 30, 2016
      Signals
      1 dated events
      • S••• A•••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Mar 29, 2016 · 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