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Former SEC-registered adviser

A••••••• U•

Former SEC-registered adviserNew York, New YorkCRD 164703SEC 801-77206IAPD
Legal name A••••••• I••••••••• M••••••••• ••• L••
Latest filing Feb 3, 2014
First filing on the tape Sep 27, 2012 · 7 filings
RAUM
$649M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$649M as of Feb 3, 2014
Sep 27, 2012$649M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 3, 2014
Dec 20, 20120 then
Employees (5.A)4 as of Feb 3, 2014
Dec 20, 20124 then
Private funds: no history
Practice profile
derived from the filing of Feb 3, 2014; 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
$216MderivedRAUM 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 pooled vehiclesreportedItem 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)
  • 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)
  • 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
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
3reported
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
      • A•••••• V••••••• B•••• · Chief Risk Officercontrol
        since 02/2014 · owns less than 5%
      • H••••••• R••••••• N•••••• · Chief Compliance Officercontrol
        since 06/2013 · owns less than 5%
      • S••••••• A•••• E•••• · Ceocontrol
        since 06/2011 · owns less than 5%
      • H••••• K••• O••••• · Ownercontrol
        since 12/2011 · owns 50% to 75% of A••••••• P••••••• L••
      • S••••••• A•••• E•••• · Ownercontrol
        since 12/2011 · owns 25% to 50% of A••••••• P••••••• L••
      Entity owners
      • A••••••• M••••••••• ••• L•• · Sole Member
        direct · owns 75% or more
      • A••••••• A•••• M••••••••• G••• · Sole Member
        indirect · owns 75% or more of A••••••• M••••••••• ••• L••
      • A••••••• P••••••• L•• · Corporate Owner
        indirect · owns 75% or more of A••••••• A•••• M••••••••• G•••
      Related persons
      Schedule D 7.A
      Advisers that list A••••••• U• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 2.0
        Sep 27, 2012 to Dec 20, 2012
      • BD registered reps · unset to 0.0
        Sep 27, 2012 to Dec 20, 2012
      • Employees · unset to 4.0
        Sep 27, 2012 to Dec 20, 2012
      • State-registered IARs · unset to 0.0
        Sep 27, 2012 to Dec 20, 2012
      Signals
      1 dated events
      • A••••••• U• filed its initial SEC registration (Form ADV)
        Sep 27, 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