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C•••••••• P•••• C••••••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Concord, Massachusetts

Former SEC-registered adviser, based in Concord, Massachusetts, reporting $10.0M of regulatory assets.

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

Last reported RAUM
$10.0M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-97%
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 161423 · SEC 801-73407 · 8 filingsShow
CRD 161423SEC 801-73407First filing on the tape Feb 13, 2012, latest Apr 14, 2016IAPD
RAUM
$10.0M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$81.0M gross assets
History
8 filings and snapshots on the tape
RAUM$10.0M as of Apr 14, 2016
Feb 26, 2013$411M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 14, 2016
Feb 26, 20130 then
Employees (5.A)2 as of Apr 14, 2016
Feb 26, 20136 then
Private funds1 as of Apr 14, 2016
Feb 26, 20131 then
RAUM -97% over the last fiscal year-71% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 14, 2016; 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
$10.0MderivedRAUM 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
-97%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, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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)
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
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• 7• P••Securitized Asset Fund$81.0M30Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• R•••••• M•••••• · Presidentcontrol
        since 05/2006 · owns less than 5%
      • T••••••• M••• · Chief Compliance Officercontrol
        since 02/2015 · owns less than 5%
      Entity owners
      • C•••••••• P•••• P••••••• ••• L•• · Owner
        direct · owns 75% or more
      • A•••• P••••••• L•••••• · General Partner
        indirect · owns F of C•••••••• P•••• P••••••• L•
      • C•••••••• P•••• H••••••• ••• L•••••• · Owner
        indirect · owns 75% or more of C•••••••• P•••• L••••••
      • C•••••••• P•••• I••••••••• M••••••••• I•• · Owner
        indirect · owns 75% or more of C•••••••• P•••• P••••••• ••• L••
      • C•••••••• P•••• L•••••• · Owner
        indirect · owns 75% or more of C•••••••• P•••• I••••••••• M••••••••• I••.
      • C•••••••• P•••• P••••••• L• · Owner
        indirect · owns 75% or more of C•••••••• P•••• H••••••• ••• L••••••
      • E••••• •••• O• M••• L•••••• · Trustee
        indirect · owns F of V••••••• T••••
      • H••••• P••••••• L•••••• · Owner
        indirect · owns 50% to 75% of C•••••••• P•••• P••••••• L•
      • S••••••• P••••••• L•••••• · Owner
        indirect · owns 75% or more of H••••• P••••••• L••••••
      • V••••••• T•••• · Owner
        indirect · owns 75% or more of S••••••• P••••••• L••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Feb 25, 2015 to Apr 14, 2016
      • Advisory employees · 4 to 2
        Feb 25, 2015 to Apr 14, 2016
      • Employees · 4 to 2
        Feb 25, 2015 to Apr 14, 2016
      • Financial planning clients · unset to 0
        Feb 25, 2015 to Apr 14, 2016
      • Discretionary RAUM · $368M to $10.0M
        Feb 25, 2015 to Apr 14, 2016
      • RAUM · $368M to $10.0M
        Feb 25, 2015 to Apr 14, 2016
      • Advisory employees · 5 to 4
        Mar 17, 2014 to Feb 25, 2015
      • BD registered reps · 1 to 0
        Mar 17, 2014 to Feb 25, 2015
      • Employees · 6 to 4
        Mar 17, 2014 to Feb 25, 2015
      • Discretionary RAUM · $387M to $368M
        Mar 17, 2014 to Feb 25, 2015
      • RAUM · $387M to $368M
        Mar 17, 2014 to Feb 25, 2015
      • Related broker-dealer · true to false
        Mar 17, 2014 to Feb 25, 2015
      • Discretionary RAUM · $411M to $387M
        Aug 19, 2013 to Feb 11, 2014
      • RAUM · $411M to $387M
        Aug 19, 2013 to Feb 11, 2014
      • Advisory employees · unset to 5.0
        Feb 13, 2012 to Feb 26, 2013
      • BD registered reps · unset to 1.0
        Feb 13, 2012 to Feb 26, 2013
      • Employees · unset to 6.0
        Feb 13, 2012 to Feb 26, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Feb 26, 2013
      • Discretionary RAUM · $539M to $411M
        Feb 13, 2012 to Feb 26, 2013
      • RAUM · $539M to $411M
        Feb 13, 2012 to Feb 26, 2013
      Signals
      No event on the tape.
      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