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R••••••••• L••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $104M of regulatory assets.

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

Last reported RAUM
$104M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
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 6 Form ADV filings for this adviser, the latest 13.5 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 164496 · SEC 801-77023 · 6 filingsShow
CRD 164496SEC 801-77023First filing on the tape Aug 3, 2012, latest Jun 3, 2013IAPD
RAUM
$104M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$104M as of Jun 3, 2013
Aug 3, 2012$127M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 3, 2013
Dec 7, 20120 then
Employees (5.A)2 as of Jun 3, 2013
Dec 7, 20123 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 3, 2013; 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
$104MderivedRAUM 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
unknownderivedbetween 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 institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• J•••• M•••••• · Chief Compliance Officer, Managercontrol
        since 01/2012 · owns less than 5%
      • B•••••••• J••••••• T••• · Managing Membercontrol
        since 03/2011 · owns 75% or more of A•••••• P•••••••• L••
      • M•••••• M••••••• J•••• · Membercontrol
        since 03/2013 · owns 75% or more of J••• L••
      • S••••••• J•••• M•••••• · Managing Membercontrol
        since 11/2011 · owns 75% or more of 1• S••••••• L••
      • S••••••• C•••••• · Membercontrol
        since 05/2011 · owns 50% to 75% of F••••••••• I•• L••
      • S••••••• G•••• L• · Managing Membercontrol
        since 12/2008 · owns 50% to 75% of F••••••••• I•• L••
      • W••••••• T•••• M•••••• · Managing Membercontrol
        since 11/2008 · owns 50% to 75% of N•• V••••• F••••••••• L••
      • W••••••• T•••••• A••• · Membercontrol
        since 11/2008 · owns 50% to 75% of N•• V••••• F••••••••• L••
      Entity owners
      • 1• S••••••• L•• · Member
        direct · owns 75% or more
      • J••• L•• · Member
        direct · owns 10% to 25%
      • S•••••••• S•••••••• P•••••••• L•• · Member
        direct · owns 10% to 25%
      • A•••••• P•••••••• L•• · Member
        indirect · owns 25% to 50% of S•••••••• S•••••••• P•••••••• L••
      • F••••••••• I•• L•• · Member
        indirect · owns 25% to 50% of S•••••••• S•••••••• P•••••••• L••
      • N•• V••••• F••••••••• L•• · Member
        indirect · owns 25% to 50% of S•••••••• S•••••••• P•••••••• L••
      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
      • Advisory employees · 3 to 2
        May 29, 2013 to Jun 3, 2013
      • Employees · 3 to 2
        May 29, 2013 to Jun 3, 2013
      • Discretionary RAUM · $96.5M to $104M
        Dec 7, 2012 to Mar 27, 2013
      • RAUM · $96.5M to $104M
        Dec 7, 2012 to Mar 27, 2013
      • Advisory employees · unset to 3.0
        Oct 5, 2012 to Dec 7, 2012
      • BD registered reps · unset to 0.0
        Oct 5, 2012 to Dec 7, 2012
      • Employees · unset to 3.0
        Oct 5, 2012 to Dec 7, 2012
      • State-registered IARs · unset to 0.0
        Oct 5, 2012 to Dec 7, 2012
      • Discretionary RAUM · $127M to $96.5M
        Oct 5, 2012 to Dec 7, 2012
      • RAUM · $127M to $96.5M
        Oct 5, 2012 to Dec 7, 2012
      • Related adviser · true to false
        Oct 5, 2012 to Dec 7, 2012
      • Related broker-dealer · true to false
        Oct 5, 2012 to Dec 7, 2012
      • Related adviser · false to true
        Aug 3, 2012 to Oct 5, 2012
      Signals
      1 dated events
      • ••• Locked
        Aug 3, 2012 · 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