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C••••••••• G••••• I•••

Former SEC-registered adviserFormer SEC adviser1 private funds· Summit, New Jersey

Former SEC-registered adviser, based in Summit, New Jersey, reporting $156M of regulatory assets.

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

Last reported RAUM
$156M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-25%
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
Why this matters
Every filed figure, and the identifiersCRD 161128 · SEC 801-73160 · 7 filingsShow
CRD 161128SEC 801-73160First filing on the tape Feb 6, 2012, latest Sep 2, 2015IAPD
RAUM
$156M
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$156M gross assets
History
7 filings and snapshots on the tape
RAUM$156M as of Mar 19, 2015
Mar 15, 2013$324M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2015
Mar 15, 20130 then
Employees (5.A)4 as of Mar 19, 2015
Mar 15, 20139 then
Private funds1 as of Mar 19, 2015
Mar 15, 20132 then
RAUM -25% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 2, 2015; 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
$156MderivedRAUM 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
-25%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
  • 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)
  • 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
1reported
Financial planning clients
n/areported
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
      C••••••••• E••••• P••••••• I•• L•••Private Equity Fund$156M26Feb 6, 2012
      C••••••••• E••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$17.2M73Feb 6, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• T•••••• C•••••• · Managing Partnercontrol
        since 09/1983 · owns less than 5%
      • L••••••• W••••••• M••••• · Managing Director, Chief Compliance Officer & Chief Financial Officercontrol
        since 12/2003 · owns 5% to 10%
      • D•••••• T•••••• C•••••• · Membercontrol
        since 12/2003 · owns 25% to 50% of C••••••••• M••••••••• L••
      • H••••••• M•••••• M••• · Membercontrol
        since 12/2003 · owns 25% to 50% of C••••••••• M••••••••• L••
      Entity owners
      • C••••••••• G••••• L•• · Shareholder
        direct · owns 75% or more
      • C••••••••• M••••••••• L•• · Member
        indirect · owns 75% or more of C••••••••• G••••• L••
      Related persons
      Schedule D 7.A
      • C•••• E••••• I•••••••• I•• L•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 4
        Mar 20, 2014 to Mar 19, 2015
      • Assets in custody · $208M to $0
        Mar 20, 2014 to Mar 19, 2015
      • Employees · 8 to 4
        Mar 20, 2014 to Mar 19, 2015
      • Discretionary RAUM · $208M to $156M
        Mar 20, 2014 to Mar 19, 2015
      • RAUM · $208M to $156M
        Mar 20, 2014 to Mar 19, 2015
      • Accounts · 2 to 1
        Oct 21, 2013 to Mar 20, 2014
      • Advisory employees · 8 to 7
        Oct 21, 2013 to Mar 20, 2014
      • Assets in custody · $324M to $208M
        Oct 21, 2013 to Mar 20, 2014
      • Employees · 9 to 8
        Oct 21, 2013 to Mar 20, 2014
      • Private funds · 2 to 1
        Oct 21, 2013 to Mar 20, 2014
      • Discretionary RAUM · $324M to $208M
        Oct 21, 2013 to Mar 20, 2014
      • RAUM · $324M to $208M
        Oct 21, 2013 to Mar 20, 2014
      • HQ city · NEW YORK to SUMMIT
        Mar 15, 2013 to Oct 21, 2013
      • HQ state · NY to NJ
        Mar 15, 2013 to Oct 21, 2013
      • Advisory employees · unset to 8.0
        Feb 16, 2012 to Mar 15, 2013
      • BD registered reps · unset to 0.0
        Feb 16, 2012 to Mar 15, 2013
      • Assets in custody · $382M to $324M
        Feb 16, 2012 to Mar 15, 2013
      • Employees · unset to 9.0
        Feb 16, 2012 to Mar 15, 2013
      • State-registered IARs · unset to 0.0
        Feb 16, 2012 to Mar 15, 2013
      • Discretionary RAUM · $382M to $324M
        Feb 16, 2012 to Mar 15, 2013
      • RAUM · $382M to $324M
        Feb 16, 2012 to Mar 15, 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