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Former SEC-registered adviser

C•••••• A••••••••• S•••••••• O••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160992SEC 801-77143IAPD
Legal name C•••••• A••••••••• S•••••••• O••••••••• M••••••••• L•••••
Latest filing Aug 14, 2013
First filing on the tape Sep 7, 2012 · 4 filings
RAUM
$175M
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$175M gross assets
History
4 filings and snapshots on the tape
RAUM$175M as of Aug 14, 2013
Sep 7, 2012$129M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 14, 2013
Mar 18, 20130 then
Employees (5.A)10 as of Aug 14, 2013
Mar 18, 201310 then
Private funds3 as of Aug 14, 2013
Sep 7, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 14, 2013; 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
$58.3MderivedRAUM 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
unknownderivedbetween 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
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)
  • 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
3reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• A••••••••• S•••••••• O••••••••• O•••••••• L•••Private Equity Fund$65.0M6Sep 7, 2012
      C••• C•••••••• A• L••Private Equity Fund$25.0M6Sep 7, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P•••• L•••••••• E••••• · Managing Member & Managing Directorcontrol
        since 02/2011 · owns 75% or more
      • W••••••••• J••••••• L•••• · Chief Compliance Officer
        since 02/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••••• A••••••••• S•••••••• O••••••••• G•••• L••
        pooled vehicle sponsorn
      Advisers that list C•••••• A••••••••• S•••••••• O••••••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Legal name · C•••••• A••••••••• S•••••••• O••••••••• M••••••••• L•• to C•••••• A••••••••• S•••••••• O••••••••• M••••••••• L•••••
        Mar 18, 2013 to Aug 14, 2013
      • Advisory employees · unset to 5.0
        Sep 10, 2012 to Mar 18, 2013
      • BD registered reps · unset to 0.0
        Sep 10, 2012 to Mar 18, 2013
      • Employees · unset to 10.0
        Sep 10, 2012 to Mar 18, 2013
      • State-registered IARs · unset to 0.0
        Sep 10, 2012 to Mar 18, 2013
      • Discretionary RAUM · $129M to $175M
        Sep 10, 2012 to Mar 18, 2013
      • RAUM · $129M to $175M
        Sep 10, 2012 to Mar 18, 2013
      • Business name · T•• C•••••• G•••• to C•••••• A••••••••• S•••••••• O••••••••• M••••••••• L••
        Sep 7, 2012 to Sep 10, 2012
      Signals
      1 dated events
      • T•• C•••••• G•••• filed its initial SEC registration (Form ADV)
        Sep 7, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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