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F•••••• C•••••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Jupiter, Florida

Former SEC-registered adviser, based in Jupiter, Florida, reporting $151M of regulatory assets.

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

Last reported RAUM
$151M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-21%
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 162958 · SEC 801-78996 · 19 filingsShow
CRD 162958SEC 801-78996First filing on the tape Dec 19, 2013, latest Mar 24, 2021IAPD
RAUM
$151M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$39.9M gross assets
History
19 filings and snapshots on the tape
RAUM$151M as of Mar 23, 2021
Mar 27, 2015$61.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2021
Mar 27, 20150 then
Employees (5.A)6 as of Mar 23, 2021
Mar 27, 20154 then
Private funds1 as of Mar 23, 2021
Mar 27, 20151 then
RAUM -21% over the last fiscal year+1.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2021; 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
$21.6MderivedRAUM 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
-21%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, otherreportedItem 5.G
Custody
yesreportedItem 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)
  • 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$147M99%
  • Other investment advisers$1.6M1.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••• O••••••••• F•••• L•••Hedge Fund$39.9M12Mar 27, 2012
      F•••••• O••••••••• M••••• F•••• L•••no longer reportedHedge Fund$01Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••• N•••• A• · Managing Membercontrol
        since 09/2005 · owns 75% or more
      • P••••••• L•••• N• · Member
        since 01/2012 · owns less than 5%
      • Y••••• P•••••••• J••• · Chief Compliance Officer
        since 06/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      • F•••••• C•••••• •••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $191M to $151M
        Mar 17, 2020 to Mar 23, 2021
      • Pooled vehicle RAUM · $187M to $147M
        Mar 17, 2020 to Mar 23, 2021
      • RAUM · $191M to $151M
        Mar 17, 2020 to Mar 23, 2021
      • Other offices · 1 to 0
        Nov 25, 2019 to Mar 17, 2020
      • Discretionary RAUM · $197M to $191M
        Nov 25, 2019 to Mar 17, 2020
      • Pooled vehicle RAUM · $192M to $187M
        Nov 25, 2019 to Mar 17, 2020
      • RAUM · $197M to $191M
        Nov 25, 2019 to Mar 17, 2020
      • HQ city · JUNO BEACH to JUPITER
        Mar 19, 2019 to Nov 25, 2019
      • Discretionary RAUM · $210M to $197M
        Mar 19, 2019 to Nov 25, 2019
      • Pooled vehicle RAUM · $192M to $192M
        Mar 19, 2019 to Nov 25, 2019
      • RAUM · $210M to $197M
        Mar 19, 2019 to Nov 25, 2019
      • Employees · 5 to 6
        Feb 1, 2019 to Mar 19, 2019
      • Discretionary RAUM · $205M to $210M
        Feb 1, 2019 to Mar 19, 2019
      • Pooled vehicle RAUM · $186M to $192M
        Feb 1, 2019 to Mar 19, 2019
      • RAUM · $205M to $210M
        Feb 1, 2019 to Mar 19, 2019
      • Employees · 4 to 5
        Mar 30, 2018 to Nov 26, 2018
      • HQ city · PRINCETON to JUNO BEACH
        Mar 30, 2018 to Nov 26, 2018
      • HQ state · NJ to FL
        Mar 30, 2018 to Nov 26, 2018
      • Discretionary RAUM · $145M to $205M
        Mar 30, 2018 to Nov 26, 2018
      • Pooled vehicle RAUM · $135M to $186M
        Mar 30, 2018 to Nov 26, 2018
      • RAUM · $145M to $205M
        Mar 30, 2018 to Nov 26, 2018
      • Accounts · 5 to 7
        Aug 16, 2017 to Mar 30, 2018
      • Advisory activities · 3 to 2
        Aug 16, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 4.0
        Aug 16, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Aug 16, 2017 to Mar 30, 2018
      • Discretionary RAUM · $114M to $145M
        Aug 16, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 134726078.0
        Aug 16, 2017 to Mar 30, 2018
      • RAUM · $114M to $145M
        Aug 16, 2017 to Mar 30, 2018
      • Discretionary RAUM · $73.7M to $114M
        Apr 26, 2017 to Aug 16, 2017
      • RAUM · $73.7M to $114M
        Apr 26, 2017 to Aug 16, 2017
      • Employees · 5 to 4
        Mar 24, 2016 to Mar 29, 2017
      • Discretionary RAUM · $77.6M to $73.7M
        Mar 24, 2016 to Mar 29, 2017
      • RAUM · $77.6M to $73.7M
        Mar 24, 2016 to Mar 29, 2017
      • Accounts · 4 to 5
        Mar 27, 2015 to Mar 24, 2016
      • Advisory activities · 2 to 3
        Mar 27, 2015 to Mar 24, 2016
      • Employees · 4 to 5
        Mar 27, 2015 to Mar 24, 2016
      • Discretionary RAUM · $61.3M to $77.6M
        Mar 27, 2015 to Mar 24, 2016
      • RAUM · $61.3M to $77.6M
        Mar 27, 2015 to Mar 24, 2016
      • Discretionary RAUM · $114M to $61.3M
        Oct 20, 2014 to Mar 27, 2015
      • RAUM · $114M to $61.3M
        Oct 20, 2014 to Mar 27, 2015
      Signals
      2 dated events
      • ••• Locked
        Jul 2, 2014 · ria registration change · fact
      • ••• Locked
        Dec 19, 2013 · 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