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Former SEC-registered adviser

A•••••• C••••••

Former SEC-registered adviserNew York, New YorkCRD 162477SEC 801-74552IAPD
Legal name A•••••• C••••••• L•
Latest filing Mar 29, 2018
First filing on the tape Mar 8, 2012 · 11 filings
RAUM
$827M
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
15
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$542M gross assets
History
11 filings and snapshots on the tape
RAUM$827M as of Mar 29, 2018
Apr 1, 2013$672M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Apr 1, 20130 then
Employees (5.A)15 as of Mar 29, 2018
Apr 1, 201310 then
Private funds1 as of Mar 29, 2018
Apr 1, 20131 then
RAUM -57% over the last fiscal year+4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$103MderivedRAUM 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
-57%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 vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$542M, 4 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$773M93%
  • Investment companies$53.9M6.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$542M for 4 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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• M••••• F•••• L•Hedge Fund$542M57Jul 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• C••••••••• A•••••• · Chief Financial Officercontrol
        since 12/2011 · owns less than 5%
      • D•••••• A•••••• E•••••• · Chief Compliance Officer/Chief Operating Officer/Chief Risk Officercontrol
        since 12/2011 · owns less than 5%
      • E••••• T•••• A•••••• · Chief Investment Officercontrol
        since 12/2011 · owns less than 5%
      • E••••• T•••• A•••••• · Limited Partnercontrol
        since 12/2011 · owns 25% to 50% of A•••••• C•••••• H•••••••• L•
      • E••••• T•••• A•••••• · Membercontrol
        since 12/2011 · owns 25% to 50% of A•••••• C•••••• G•• L••
      Entity owners
      • A•••••• C•••••• H•••••••• L• · Limited Partner
        direct · owns 75% or more
      • A•••••• C•••••• G•• L•• · General Partner
        indirect · owns F of A•••••• C•••••• H•••••••• L•
      Related persons
      Schedule D 7.A
      • A•••••• A••••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      • A•••••• A••••••••• L•
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 8
        Mar 29, 2017 to Mar 29, 2018
      • Advisory employees · 10 to 7
        Mar 29, 2017 to Mar 29, 2018
      • Advisory activities · 3 to 2
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 7.0
        Mar 29, 2017 to Mar 29, 2018
      • Assets in custody · $925M to $542M
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 16 to 15
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.9B to $827M
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 773126980.0
        Mar 29, 2017 to Mar 29, 2018
      • RAUM · $1.9B to $827M
        Mar 29, 2017 to Mar 29, 2018
      • Accounts · 8 to 10
        May 23, 2016 to Mar 29, 2017
      • Assets in custody · $259M to $925M
        May 23, 2016 to Mar 29, 2017
      • Employees · 17 to 16
        May 23, 2016 to Mar 29, 2017
      • Discretionary RAUM · $1.3B to $1.9B
        May 23, 2016 to Mar 29, 2017
      • RAUM · $1.3B to $1.9B
        May 23, 2016 to Mar 29, 2017
      • Accounts · 7 to 8
        Mar 27, 2015 to Mar 30, 2016
      • Advisory employees · 8 to 10
        Mar 27, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 3
        Mar 27, 2015 to Mar 30, 2016
      • Assets in custody · $211M to $259M
        Mar 27, 2015 to Mar 30, 2016
      • Employees · 13 to 17
        Mar 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $728M to $1.3B
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $728M to $1.3B
        Mar 27, 2015 to Mar 30, 2016
      • Accounts · 6 to 7
        Mar 19, 2014 to Mar 27, 2015
      • Advisory employees · 5 to 8
        Mar 19, 2014 to Mar 27, 2015
      • Assets in custody · $201M to $211M
        Mar 19, 2014 to Mar 27, 2015
      • Employees · 11 to 13
        Mar 19, 2014 to Mar 27, 2015
      • Discretionary RAUM · $631M to $728M
        Mar 19, 2014 to Mar 27, 2015
      • RAUM · $631M to $728M
        Mar 19, 2014 to Mar 27, 2015
      • Accounts · 5 to 6
        Apr 15, 2013 to Mar 19, 2014
      • Advisory employees · 4 to 5
        Apr 15, 2013 to Mar 19, 2014
      • Advisory activities · 1 to 2
        Apr 15, 2013 to Mar 19, 2014
      • Assets in custody · $500M to $201M
        Apr 15, 2013 to Mar 19, 2014
      • Employees · 10 to 11
        Apr 15, 2013 to Mar 19, 2014
      • Discretionary RAUM · $672M to $631M
        Apr 15, 2013 to Mar 19, 2014
      • RAUM · $672M to $631M
        Apr 15, 2013 to Mar 19, 2014
      • Accounts · 4 to 5
        Jul 16, 2012 to Apr 1, 2013
      • Advisory employees · unset to 4.0
        Jul 16, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Jul 16, 2012 to Apr 1, 2013
      • Assets in custody · $424M to $500M
        Jul 16, 2012 to Apr 1, 2013
      • Employees · unset to 10.0
        Jul 16, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • ••• Locked
        Mar 29, 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