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Former SEC-registered adviser

R•••••• C••••••• L••

Former SEC-registered adviserSummit, New JerseyCRD 163597SEC 801-77719websiteIAPD
Latest filing Jul 31, 2025
First filing on the tape Mar 1, 2013 · 26 filings
SEC status approved since Mar 20, 2013
RAUM
$1.8B
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
11
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.8B as of Jul 31, 2025
Mar 28, 2014$222M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 31, 2025
Mar 28, 20140 then
Employees (5.A)11 as of Jul 31, 2025
Mar 28, 20146 then
Private funds3 as of Jul 31, 2025
Mar 28, 20141 then
RAUM -46% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 31, 2025; 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
$369MderivedRAUM 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
-46%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.8B, 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$1.8B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$1.8B 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••••• C•••••• M••••• F•••• L•••Hedge Fund$3.4B259May 15, 2012
      R•••••• O••••••••• F•••• L••Hedge Fund$53.2M13Jun 25, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• J•••••• W••••• · Chief Compliance Officer / Chief Operating Officercontrol
        since 05/2012 · owns less than 5%
      • K••••• J•••••• A•• · Managing Partnercontrol
        since 05/2012 · owns less than 5%
      • L•••••••• B••••• M•••••• · Managing Partnercontrol
        since 05/2012 · owns less than 5%
      • S•••• W••••••• · Chief Financial Officercontrol
        since 01/2020 · owns less than 5%
      • K••••• J•••••• A•• · Membercontrol
        since 01/2024 · owns 50% to 75% of R•••••• C•••••• H••••••• G• L••
      • K••••• J•••••• A•• · Limited Partnercontrol
        since 01/2024 · owns 25% to 50% of R•••••• C•••••• H•••••••• L•
      • L•••••••• B••••• M•••••• · Membercontrol
        since 01/2024 · owns 50% to 75% of R•••••• C•••••• H••••••• G• L••
      • L•••••••• B••••• M•••••• · Limited Partnercontrol
        since 01/2024 · owns 25% to 50% of R•••••• C•••••• H•••••••• L•
      Entity owners
      • R•••••• C•••••• H•••••••• L• · Managing Member
        direct · owns 75% or more
      • R•••••• C•••••• H••••••• G• L•• · General Partner
        indirect · owns F of R•••••• C•••••• H•••••••• L•
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY10 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Jun 20, 2025 to Jul 31, 2025
      • Private funds · 2 to 3
        Jun 20, 2025 to Jul 31, 2025
      • Accounts · 4 to 5
        Mar 15, 2024 to Mar 18, 2025
      • Advisory employees · 7 to 8
        Mar 15, 2024 to Mar 18, 2025
      • Pooled vehicle clients · 4 to 5
        Mar 15, 2024 to Mar 18, 2025
      • Assets in custody · $3.4B to $1.8B
        Mar 15, 2024 to Mar 18, 2025
      • Employees · 10 to 11
        Mar 15, 2024 to Mar 18, 2025
      • Discretionary RAUM · $3.4B to $1.8B
        Mar 15, 2024 to Mar 18, 2025
      • Pooled vehicle RAUM · $3.4B to $1.8B
        Mar 15, 2024 to Mar 18, 2025
      • RAUM · $3.4B to $1.8B
        Mar 15, 2024 to Mar 18, 2025
      • Assets in custody · $3.3B to $3.4B
        Mar 8, 2023 to Mar 15, 2024
      • Discretionary RAUM · $3.3B to $3.4B
        Mar 8, 2023 to Mar 15, 2024
      • Pooled vehicle RAUM · $3.3B to $3.4B
        Mar 8, 2023 to Mar 15, 2024
      • RAUM · $3.3B to $3.4B
        Mar 8, 2023 to Mar 15, 2024
      • Accounts · 5 to 4
        Mar 8, 2022 to Mar 2, 2023
      • Charity clients · 1.0 to unset
        Mar 8, 2022 to Mar 2, 2023
      • Assets in custody · $3.9B to $3.3B
        Mar 8, 2022 to Mar 2, 2023
      • Discretionary RAUM · $4.0B to $3.3B
        Mar 8, 2022 to Mar 2, 2023
      • Pooled vehicle RAUM · $3.9B to $3.3B
        Mar 8, 2022 to Mar 2, 2023
      • RAUM · $4.0B to $3.3B
        Mar 8, 2022 to Mar 2, 2023
      • Accounts · 4 to 5
        Oct 26, 2021 to Mar 8, 2022
      • Pooled vehicle clients · 3 to 4
        Oct 26, 2021 to Mar 8, 2022
      • Assets in custody · $3.8B to $3.9B
        Oct 26, 2021 to Mar 8, 2022
      • Discretionary RAUM · $3.9B to $4.0B
        Oct 26, 2021 to Mar 8, 2022
      • Pooled vehicle RAUM · $3.8B to $3.9B
        Oct 26, 2021 to Mar 8, 2022
      • RAUM · $3.9B to $4.0B
        Oct 26, 2021 to Mar 8, 2022
      • HQ city · NEW YORK to SUMMIT
        Jun 25, 2021 to Oct 26, 2021
      • HQ state · NY to NJ
        Jun 25, 2021 to Oct 26, 2021
      • Other offices · 0 to 1
        Jun 25, 2021 to Oct 26, 2021
      • Private funds · 1 to 2
        Mar 11, 2021 to Jun 25, 2021
      • Assets in custody · $3.3B to $3.8B
        Mar 11, 2020 to Mar 11, 2021
      • Discretionary RAUM · $3.4B to $3.9B
        Mar 11, 2020 to Mar 11, 2021
      • Pooled vehicle RAUM · $3.3B to $3.8B
        Mar 11, 2020 to Mar 11, 2021
      • RAUM · $3.4B to $3.9B
        Mar 11, 2020 to Mar 11, 2021
      • Assets in custody · $2.6B to $3.3B
        Feb 26, 2019 to Mar 11, 2020
      • Other offices · 1 to 0
        Feb 26, 2019 to Mar 11, 2020
      • Discretionary RAUM · $2.7B to $3.4B
        Feb 26, 2019 to Mar 11, 2020
      • Pooled vehicle RAUM · $2.6B to $3.3B
        Feb 26, 2019 to Mar 11, 2020
      • RAUM · $2.7B to $3.4B
        Feb 26, 2019 to Mar 11, 2020
      • Advisory employees · 6 to 7
        Mar 14, 2018 to Feb 26, 2019
      Signals
      6 dated events
      • R•••••• C••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $1.8B)
        Jan 2, 2026 · Left the SEC roster · derived
      • R•••••• C••••••• L•• reported RAUM $1.8B, down 46% from $3.4B (2024-03-15 to 2025-03-18)
        Mar 18, 2025 · RAUM change · derived
      • R•••••• C••••••• L•• reported RAUM $3.4B, up 26% from $2.7B (2019-02-26 to 2020-03-11)
        Mar 11, 2020 · RAUM change · derived
      • Wen-Ting Shen (Chief Financial Officer) appeared on Schedule A of R•••••• C••••••• L••
        Mar 11, 2020 · Control person joined · fact
      • R•••••• C••••••• L•• reported RAUM $2.2B, up 111% from $1.1B (2018-01-02 to 2018-03-14)
        Mar 14, 2018 · RAUM change · derived
      • R•••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 1, 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