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Former SEC-registered adviser

T•••••••• I•••

Former SEC-registered adviserRed Bank, New JerseyCRD 161578SEC 801-74281IAPD
Latest filing Mar 31, 2014
First filing on the tape Feb 15, 2012 · 3 filings
RAUM
$528M
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
21
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$114M gross assets
History
3 filings and snapshots on the tape
RAUM$528M as of Mar 31, 2014
Apr 5, 2013$255M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Apr 5, 20130 then
Employees (5.A)21 as of Mar 31, 2014
Apr 5, 201321 then
Private funds2 as of Mar 31, 2014
Apr 5, 20131 then
RAUM +107% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2014; 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
$88.0MderivedRAUM 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
+107%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$114M, 2 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
  • 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)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$114M for 2 clientsreported
Compensation
% of AUM, fixed, 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
      T•••••••• U•••• S••••• M••••• F•••• S••Hedge Fund$95.0M2Mar 31, 2014
      T•••••••• L••• L••Hedge Fund$18.9M10Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M••••••• J• · Chief Technology Officer; Directorcontrol
        since 02/1999 · owns 5% to 10%
      • F•••••• R••••••• S••••• · Directorcontrol
        since 01/2003 · owns 10% to 25%
      • K••••••• A•••••• · Presidentcontrol
        since 01/2011 · owns less than 5%
      • M•••••••• M•••• S•••• · Chief Investment Officercontrol
        since 08/2011 · owns less than 5%
      • N•••••• M•••• · Chairman; Ceo; Directorcontrol
        since 02/1999 · owns 10% to 25%
      • R••• C••••••••• R••• · Cco; Vice President Business Strategy
        since 08/2010 · owns less than 5%
      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 · 5 to 6
        Apr 5, 2013 to Mar 31, 2014
      • Assets in custody · $10.0M to $114M
        Apr 5, 2013 to Mar 31, 2014
      • Private funds · 1 to 2
        Apr 5, 2013 to Mar 31, 2014
      • Discretionary RAUM · $255M to $528M
        Apr 5, 2013 to Mar 31, 2014
      • RAUM · $255M to $528M
        Apr 5, 2013 to Mar 31, 2014
      • Related bank · false to true
        Apr 5, 2013 to Mar 31, 2014
      • Advisory employees · unset to 9.0
        Feb 15, 2012 to Apr 5, 2013
      • BD registered reps · unset to 2.0
        Feb 15, 2012 to Apr 5, 2013
      • Assets in custody · unset to 10000000.0
        Feb 15, 2012 to Apr 5, 2013
      • Custody of client assets · false to true
        Feb 15, 2012 to Apr 5, 2013
      • Employees · unset to 21.0
        Feb 15, 2012 to Apr 5, 2013
      • State-registered IARs · unset to 0.0
        Feb 15, 2012 to Apr 5, 2013
      • Discretionary RAUM · $111M to $255M
        Feb 15, 2012 to Apr 5, 2013
      • RAUM · $111M to $255M
        Feb 15, 2012 to Apr 5, 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