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Former SEC-registered adviser

I•••• A•••• M••••••••• L••••••

Former SEC-registered adviserRoad Town, Tortola, CRD 161698SEC 801-107033IAPD
Latest filing Jul 31, 2023
First filing on the tape Dec 4, 2015 · 10 filings
RAUM
$42.8M
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
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$42.7M gross assets
History
10 filings and snapshots on the tape
RAUM$42.8M as of Jul 31, 2023
Jul 29, 2016$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 31, 2023
Jul 29, 20160 then
Employees (5.A)5 as of Jul 31, 2023
Jul 29, 20167 then
Private funds3 as of Jul 31, 2023
Jul 29, 20163 then
RAUM -56% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 31, 2023; 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
$14.3MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-56%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
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
  • Pooled investment vehicles$42.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•••• A••••• F•••Other Private Fund$28.3M8Jul 19, 2019
      I•••• A•••••• O••••••••• F••• L••••••Other Private Fund$10.6M46Mar 30, 2012
      I•••• A••••• S••••• S•• L•••••• • I•••• Z••••••• F••• S••••••••• P••••••••Hedge Fund$3.8M24Mar 30, 2012
      I•••• A••••• S••••• S•• L•••••• • I•••• N•••••• F••• S••••••••• P••••••••no longer reportedHedge Fund$2.7M15Mar 30, 2012
      I•••• F•••• L••• F••• • C••• C•••••• O• I•••• P•••••••• S•••••••• P••no longer reportedHedge Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• A••••••• D•••• · Director/Ceocontrol
        since 10/2017 · owns less than 5%
      • T•••••• A•••• H•••• · Chief Compliance Officer
        since 04/2018 · owns less than 5%
      • W•••••••• H••••• J••••• · Director
        since 03/2016 · owns less than 5%
      Entity owners
      • I•••• H••••••• L•••••• · Direct Owner
        direct · owns 75% or more
      • F•• F•••••••• L•••••• · Shareholder
        indirect · owns 75% or more of I•••• H••••••• L••••••
      Related persons
      Schedule D 7.A
      • I•••• A•••• M••••••••• ••• L••
        investment advisern
      • I•••• A•••• M••••••••• ••••••••• P•••••• L••••••
        investment advisern
      • I•••• C•••••• S••••••••• ••••••••• L••••••
        broker-dealern
      • I•••• E•••••• S••••••••• •••••••• L••••••
        broker-dealern
      • I•••• T•••• C•••••• ••••••••• L••••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      • Grand Baie, Mauritius1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 3
        Jul 29, 2022 to Jul 31, 2023
      • Advisory employees · 3 to 2
        Jul 29, 2022 to Jul 31, 2023
      • Pooled vehicle clients · 5 to 3
        Jul 29, 2022 to Jul 31, 2023
      • Employees · 6 to 5
        Jul 29, 2022 to Jul 31, 2023
      • Discretionary RAUM · $97.2M to $42.8M
        Jul 29, 2022 to Jul 31, 2023
      • Pooled vehicle RAUM · $97.2M to $42.8M
        Jul 29, 2022 to Jul 31, 2023
      • RAUM · $97.2M to $42.8M
        Jul 29, 2022 to Jul 31, 2023
      • Discretionary RAUM · $82.8M to $97.2M
        Jul 30, 2021 to Jul 29, 2022
      • Pooled vehicle RAUM · $82.8M to $97.2M
        Jul 30, 2021 to Jul 29, 2022
      • RAUM · $82.8M to $97.2M
        Jul 30, 2021 to Jul 29, 2022
      • Accounts · 7 to 5
        Jul 31, 2020 to Jul 30, 2021
      • Pooled vehicle clients · 7 to 5
        Jul 31, 2020 to Jul 30, 2021
      • Discretionary RAUM · $60.8M to $82.8M
        Jul 31, 2020 to Jul 30, 2021
      • Pooled vehicle RAUM · $60.8M to $82.8M
        Jul 31, 2020 to Jul 30, 2021
      • RAUM · $60.8M to $82.8M
        Jul 31, 2020 to Jul 30, 2021
      • Advisory employees · 4 to 3
        Jul 19, 2019 to Jul 31, 2020
      • Employees · 7 to 6
        Jul 19, 2019 to Jul 31, 2020
      • Discretionary RAUM · $117M to $60.8M
        Jul 19, 2019 to Jul 31, 2020
      • Pooled vehicle RAUM · $117M to $60.8M
        Jul 19, 2019 to Jul 31, 2020
      • RAUM · $117M to $60.8M
        Jul 19, 2019 to Jul 31, 2020
      • Accounts · 6 to 7
        Aug 1, 2018 to Jul 19, 2019
      • Advisory employees · 3 to 4
        Aug 1, 2018 to Jul 19, 2019
      • Pooled vehicle clients · 6 to 7
        Aug 1, 2018 to Jul 19, 2019
      • Employees · 5 to 7
        Aug 1, 2018 to Jul 19, 2019
      • Private funds · 2 to 3
        Aug 1, 2018 to Jul 19, 2019
      • Discretionary RAUM · $121M to $117M
        Aug 1, 2018 to Jul 19, 2019
      • Pooled vehicle RAUM · $121M to $117M
        Aug 1, 2018 to Jul 19, 2019
      • RAUM · $121M to $117M
        Aug 1, 2018 to Jul 19, 2019
      • Accounts · 7 to 6
        Jul 29, 2017 to Aug 1, 2018
      • Advisory employees · 4 to 3
        Jul 29, 2017 to Aug 1, 2018
      • Pooled vehicle clients · unset to 6.0
        Jul 29, 2017 to Aug 1, 2018
      • Employees · 7 to 5
        Jul 29, 2017 to Aug 1, 2018
      • Other offices · unset to 1.0
        Jul 29, 2017 to Aug 1, 2018
      • Private funds · 3 to 2
        Jul 29, 2017 to Aug 1, 2018
      • Discretionary RAUM · $91.5M to $121M
        Jul 29, 2017 to Aug 1, 2018
      • Pooled vehicle RAUM · unset to 120578053.0
        Jul 29, 2017 to Aug 1, 2018
      • RAUM · $91.5M to $121M
        Jul 29, 2017 to Aug 1, 2018
      • Discretionary RAUM · $100M to $91.5M
        Jul 29, 2016 to Jul 29, 2017
      • RAUM · $100M to $91.5M
        Jul 29, 2016 to Jul 29, 2017
      • Accounts · 6 to 7
        Mar 30, 2016 to Jul 29, 2016
      Signals
      2 dated events
      • B••••••• C•••• B••••••• (Director) no longer on Schedule A of I•••• A•••• M••••••••• L•••••• (listed 2019-07-19, absent 2020-07-31)
        Jul 31, 2020 · Control person left · inference
      • I•••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Dec 4, 2015 · First SEC registration · fact
      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