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Former SEC-registered adviser

B••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserDarien, ConnecticutCRD 161011SEC 801-74285IAPD
Latest filing Apr 5, 2017
First filing on the tape Feb 16, 2012 · 9 filings
RAUM
$280M
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$461M gross assets
History
9 filings and snapshots on the tape
RAUM$280M as of Mar 31, 2017
Mar 28, 2013$297M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 28, 20130 then
Employees (5.A)6 as of Mar 31, 2017
Mar 28, 20138 then
Private funds2 as of Mar 31, 2017
Mar 28, 20132 then
RAUM +0.0% over the last fiscal year+0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 5, 2017; 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
$140MderivedRAUM 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
+0.0%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
yesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••••• E••••• E••••• F••• I• ••• L•••Private Equity Fund$280M20Feb 16, 2012
      S•••••••• E••••• E••••• F••• I•• L•••Private Equity Fund$181M19Feb 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• R•••••• O••••• · Chairmancontrol
        since 03/2006 · owns 75% or more
      • A•••••• I••• · Chief Compliance Officer
        since 02/2012 · 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
      • Assets in custody · unset to 0.0
        Mar 30, 2016 to Apr 12, 2016
      • Custody of client assets · false to true
        Mar 30, 2016 to Apr 12, 2016
      • Assets in custody · 259000000.0 to unset
        Mar 30, 2015 to Mar 30, 2016
      • Custody of client assets · true to false
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $276M to $280M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $276M to $280M
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 20 to 2
        Mar 27, 2014 to Mar 30, 2015
      • Advisory employees · 6 to 5
        Mar 27, 2014 to Mar 30, 2015
      • Assets in custody · $276M to $259M
        Mar 27, 2014 to Mar 30, 2015
      • Employees · 7 to 6
        Mar 27, 2014 to Mar 30, 2015
      • Discretionary RAUM · $26.2M to $276M
        Mar 27, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $250M to $0
        Mar 27, 2014 to Mar 30, 2015
      • RAUM · $276M to $276M
        Mar 27, 2014 to Mar 30, 2015
      • Advisory employees · 7 to 6
        Mar 28, 2013 to Mar 27, 2014
      • Assets in custody · $297M to $276M
        Mar 28, 2013 to Mar 27, 2014
      • Employees · 8 to 7
        Mar 28, 2013 to Mar 27, 2014
      • Discretionary RAUM · $37.0M to $26.2M
        Mar 28, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $260M to $250M
        Mar 28, 2013 to Mar 27, 2014
      • RAUM · $297M to $276M
        Mar 28, 2013 to Mar 27, 2014
      • Accounts · 2 to 20
        Mar 20, 2012 to Mar 28, 2013
      • Advisory employees · unset to 7.0
        Mar 20, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 20, 2012 to Mar 28, 2013
      • Assets in custody · $349M to $297M
        Mar 20, 2012 to Mar 28, 2013
      • Employees · unset to 8.0
        Mar 20, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 20, 2012 to Mar 28, 2013
      • Discretionary RAUM · $349M to $37.0M
        Mar 20, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $0 to $260M
        Mar 20, 2012 to Mar 28, 2013
      • RAUM · $349M to $297M
        Mar 20, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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