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C•••••••• C••••••• L•

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $142M of regulatory assets.

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

As of 2020-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $142M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +12%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2020-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 8 Form ADV filings for this adviser, the latest 6.5 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 161337 · SEC 801-79926 · 8 filingsShow

CRD 161337SEC 801-79926First filing on the tape Jun 10, 2014, latest Mar 30, 2020IAPD

RAUM

$142M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$96.8M gross assets

History

8 filings and snapshots on the tape

RAUM$142M as of Mar 30, 2020

Mar 31, 2015$480M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2020

Mar 31, 20150 then

Employees (5.A)3 as of Mar 30, 2020

Mar 31, 20155 then

Private funds1 as of Mar 30, 2020

Mar 31, 20151 then

RAUM +12% over the last fiscal year+8.6% a year over threeIARs 0 to 0offices 1 to 0

Practice profile

derived from the filing of Mar 30, 2020; 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: $35.6MderivedRAUM 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: +12%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: $53.0M, 1 clientsreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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

Pooled investment vehicles$142M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $53.0M for 1 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 departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••••••• P••••••• M••••• F•••• L•no longer reported	Hedge Fund	$154M	75	Mar 21, 2012
C•••••••• P•••••••• L•	Hedge Fund	$96.8M	48	Mar 31, 2017

Owners and control persons

Schedule A and B, latest filing

B••••• W••••••• J•••• · Managing Partnercontrol
since 09/2007 · owns 75% or more
S••••••• T••••••• J•••• · Chief Operating Officer, Chief Financial Officer And Chief Compliance Officercontrol
since 11/2013 · owns less than 5%
B••••• W••••••• J•••• · Managing Membercontrol
since 09/2011 · owns 75% or more of C•••••••• C•••••• G•• L••

Entity owners

C•••••••• C•••••• G•• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

C•••••••• A•••••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $48.0M to $53.0M
Mar 29, 2019 to Mar 30, 2020
Other offices · 1 to 0
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $127M to $142M
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $127M to $142M
Mar 29, 2019 to Mar 30, 2020
RAUM · $127M to $142M
Mar 29, 2019 to Mar 30, 2020
Accounts · 1 to 4
Mar 30, 2018 to Mar 29, 2019
Pooled vehicle clients · 1 to 4
Mar 30, 2018 to Mar 29, 2019
Assets in custody · $70.6M to $48.0M
Mar 30, 2018 to Mar 29, 2019
Discretionary RAUM · $91.6M to $127M
Mar 30, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $91.6M to $127M
Mar 30, 2018 to Mar 29, 2019
RAUM · $91.6M to $127M
Mar 30, 2018 to Mar 29, 2019
Pooled vehicle clients · unset to 1.0
Mar 31, 2017 to Mar 30, 2018
Assets in custody · $70.8M to $70.6M
Mar 31, 2017 to Mar 30, 2018
Other offices · unset to 1.0
Mar 31, 2017 to Mar 30, 2018
Discretionary RAUM · $111M to $91.6M
Mar 31, 2017 to Mar 30, 2018
Pooled vehicle RAUM · unset to 91589066.0
Mar 31, 2017 to Mar 30, 2018
RAUM · $111M to $91.6M
Mar 31, 2017 to Mar 30, 2018
Related adviser · true to false
Mar 31, 2017 to Mar 30, 2018
Accounts · 3 to 1
Mar 30, 2016 to Mar 31, 2017
Assets in custody · $81.3M to $70.8M
Mar 30, 2016 to Mar 31, 2017
Discretionary RAUM · $154M to $111M
Mar 30, 2016 to Mar 31, 2017
RAUM · $154M to $111M
Mar 30, 2016 to Mar 31, 2017
Assets in custody · $221M to $81.3M
Apr 14, 2015 to Mar 30, 2016
Employees · 4 to 3
Apr 14, 2015 to Mar 30, 2016
Discretionary RAUM · $371M to $154M
Apr 14, 2015 to Mar 30, 2016
RAUM · $371M to $154M
Apr 14, 2015 to Mar 30, 2016
Assets in custody · $288M to $221M
Mar 31, 2015 to Apr 14, 2015
Employees · 5 to 4
Mar 31, 2015 to Apr 14, 2015
Discretionary RAUM · $480M to $371M
Mar 31, 2015 to Apr 14, 2015
RAUM · $480M to $371M
Mar 31, 2015 to Apr 14, 2015
Assets in custody · $412M to $288M
Jun 10, 2014 to Mar 31, 2015
Private funds · 2 to 1
Jun 10, 2014 to Mar 31, 2015
Discretionary RAUM · $540M to $480M
Jun 10, 2014 to Mar 31, 2015
RAUM · $540M to $480M
Jun 10, 2014 to Mar 31, 2015
Related bank · false to true
Jun 10, 2014 to Mar 31, 2015

Signals

2 dated events

••• Locked
Mar 31, 2015 · ria registration change · fact
••• Locked
Jun 10, 2014 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C•••••••• C••••••• L• · Venture Capital
shared crd · organization

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