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L•••••••• C••••••• I••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $65.0M of regulatory assets.

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

Last reported RAUM
$65.0M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+8.3%
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
What we can say about this record

We hold 13 Form ADV filings for this adviser, the latest 4.6 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 161700 · SEC 801-73870 · 13 filingsShow
CRD 161700SEC 801-73870First filing on the tape Feb 14, 2012, latest Feb 23, 2022IAPD
RAUM
$65.0M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$65.0M as of Feb 23, 2022
Mar 28, 2013$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 23, 2022
Mar 28, 20130 then
Employees (5.A)1 as of Feb 23, 2022
Mar 28, 20131 then
Private funds1 as of Feb 26, 2015
Mar 28, 20131 then
RAUM +8.3% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 23, 2022; 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
$65.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+8.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourlyreportedItem 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$65.0M100%
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
hourlyreported
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
      P•••••• I••••••••• L••••••••• T••••no longer reportedOther Private Fund$5.3M80Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• C••••••• F• · President And Chief Compliance Officercontrol
        since 12/2006 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $60.0M to $65.0M
        Feb 25, 2021 to Feb 23, 2022
      • RAUM · $60.0M to $65.0M
        Feb 25, 2021 to Feb 23, 2022
      • Non-discretionary RAUM · $53.0M to $60.0M
        Mar 8, 2020 to Feb 25, 2021
      • RAUM · $53.0M to $60.0M
        Mar 8, 2020 to Feb 25, 2021
      • Non-discretionary RAUM · $182M to $53.0M
        Mar 6, 2019 to Mar 8, 2020
      • RAUM · $182M to $53.0M
        Mar 6, 2019 to Mar 8, 2020
      • Non-discretionary RAUM · $182M to $182M
        Mar 2, 2018 to Mar 6, 2019
      • RAUM · $182M to $182M
        Mar 2, 2018 to Mar 6, 2019
      • Other offices · unset to 0.0
        Mar 2, 2017 to Mar 2, 2018
      • Non-discretionary RAUM · $1.7B to $182M
        Mar 2, 2017 to Mar 2, 2018
      • RAUM · $1.7B to $182M
        Mar 2, 2017 to Mar 2, 2018
      • Non-discretionary RAUM · $2.4B to $1.7B
        Jan 26, 2017 to Mar 2, 2017
      • RAUM · $2.4B to $1.7B
        Jan 26, 2017 to Mar 2, 2017
      • Accounts · 2 to 1
        Feb 26, 2015 to Feb 22, 2016
      • Advisory activities · 2 to 1
        Feb 26, 2015 to Feb 22, 2016
      • Assets in custody · 9500000.0 to unset
        Feb 26, 2015 to Feb 22, 2016
      • Custody of client assets · true to false
        Feb 26, 2015 to Feb 22, 2016
      • Private funds · 1 to unset
        Feb 26, 2015 to Feb 22, 2016
      • Discretionary RAUM · $5.3M to $0
        Feb 26, 2015 to Feb 22, 2016
      • Non-discretionary RAUM · $2.5B to $2.4B
        Feb 26, 2015 to Feb 22, 2016
      • RAUM · $2.5B to $2.4B
        Feb 26, 2015 to Feb 22, 2016
      • Discretionary RAUM · $9.2M to $5.3M
        Mar 7, 2014 to Feb 26, 2015
      • Non-discretionary RAUM · $2.5B to $2.5B
        Mar 7, 2014 to Feb 26, 2015
      • RAUM · $2.5B to $2.5B
        Mar 7, 2014 to Feb 26, 2015
      • Assets in custody · $7.4M to $9.5M
        Mar 28, 2013 to Mar 7, 2014
      • Discretionary RAUM · $7.4M to $9.2M
        Mar 28, 2013 to Mar 7, 2014
      • Non-discretionary RAUM · $2.5B to $2.5B
        Mar 28, 2013 to Mar 7, 2014
      • RAUM · $2.5B to $2.5B
        Mar 28, 2013 to Mar 7, 2014
      • Advisory employees · unset to 1.0
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Assets in custody · $12.0M to $7.4M
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 1.0
        Feb 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $12.0M to $7.4M
        Feb 14, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $2.4B to $2.5B
        Feb 14, 2012 to Mar 28, 2013
      • RAUM · $2.4B to $2.5B
        Feb 14, 2012 to Mar 28, 2013
      Signals
      2 dated events
      • ••• Locked
        Mar 8, 2020 · RAUM change · derived
      • ••• Locked
        Mar 2, 2018 · RAUM change · derived
      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