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RIA Intelligence

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A•••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $175M of regulatory assets.

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

Regulatory AUM
$175M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
Not established
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 165190 · SEC 801-136387 · 13 filingsShow
CRD 165190SEC 801-136387First filing on the tape Aug 22, 2012, latest Apr 29, 2026SEC status approved since Jun 3, 2026IAPD
RAUM
$175M
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$175M as of Apr 29, 2026
Apr 5, 2013$112M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 29, 2026
Apr 5, 20130 then
Employees (5.A)2 as of Apr 29, 2026
Apr 5, 20136 then
Private funds2 as of Apr 29, 2026
Apr 5, 20133 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 29, 2026; 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
$87.4MderivedRAUM 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
  • 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)
  • 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
  • Pooled investment vehicles$175M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• P•••••••• L•Hedge Fund$129M25Aug 22, 2012
      A•••• O•••••••• L••Hedge Fund$46.2M4Aug 22, 2012
      A•••• O••••••••• I• L••no longer reportedPrivate Equity Fund$3.2M8Aug 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• M••• T••••••• · Managing Member - A•••• O••••••• A••••••• LLC (Relying Adviser)control
        since 05/2005 · owns 75% or more
      • T•••••• F••••••••• C•••••• · Chief Compliance Officercontrol
        since 02/2022 · owns less than 5%
      • W••••••• A••• R••• · Chief Financial Officercontrol
        since 05/2005 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••• A•••••••• L••
        investment adviserpooled vehicle sponsorn
      • A•••• O••••••• A•••••••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Mar 31, 2022 to Apr 29, 2026
      • Discretionary RAUM · $196M to $175M
        Mar 31, 2022 to Apr 29, 2026
      • Pooled vehicle RAUM · $196M to $175M
        Mar 31, 2022 to Apr 29, 2026
      • RAUM · $196M to $175M
        Mar 31, 2022 to Apr 29, 2026
      • Employees · 3 to 2
        Feb 9, 2022 to Mar 31, 2022
      • Discretionary RAUM · $311M to $196M
        Feb 9, 2022 to Mar 31, 2022
      • Pooled vehicle RAUM · $311M to $196M
        Feb 9, 2022 to Mar 31, 2022
      • RAUM · $311M to $196M
        Feb 9, 2022 to Mar 31, 2022
      • Private funds · 4 to 2
        Mar 30, 2021 to Nov 30, 2021
      • Advisory employees · 3 to 1
        Oct 11, 2016 to Mar 30, 2021
      • Pooled vehicle clients · unset to 2.0
        Oct 11, 2016 to Mar 30, 2021
      • Assets in custody · 0.0 to unset
        Oct 11, 2016 to Mar 30, 2021
      • Custody of client assets · true to false
        Oct 11, 2016 to Mar 30, 2021
      • Employees · 5 to 3
        Oct 11, 2016 to Mar 30, 2021
      • Financial planning clients · 0 to unset
        Oct 11, 2016 to Mar 30, 2021
      • Other offices · unset to 0.0
        Oct 11, 2016 to Mar 30, 2021
      • Private funds · 2 to 4
        Oct 11, 2016 to Mar 30, 2021
      • Discretionary RAUM · $161M to $311M
        Oct 11, 2016 to Mar 30, 2021
      • Pooled vehicle RAUM · unset to 310783949.0
        Oct 11, 2016 to Mar 30, 2021
      • RAUM · $161M to $311M
        Oct 11, 2016 to Mar 30, 2021
      • Discretionary RAUM · $187M to $161M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $187M to $161M
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $157M to $187M
        Mar 21, 2014 to Mar 27, 2015
      • RAUM · $157M to $187M
        Mar 21, 2014 to Mar 27, 2015
      • Accounts · 4 to 2
        Apr 5, 2013 to Mar 21, 2014
      • Advisory employees · 4 to 3
        Apr 5, 2013 to Mar 21, 2014
      • Assets in custody · unset to 0.0
        Apr 5, 2013 to Mar 21, 2014
      • Custody of client assets · false to true
        Apr 5, 2013 to Mar 21, 2014
      • Employees · 6 to 5
        Apr 5, 2013 to Mar 21, 2014
      • Financial planning clients · unset to 0
        Apr 5, 2013 to Mar 21, 2014
      • Private funds · 3 to 2
        Apr 5, 2013 to Mar 21, 2014
      • Discretionary RAUM · $112M to $157M
        Apr 5, 2013 to Mar 21, 2014
      • RAUM · $112M to $157M
        Apr 5, 2013 to Mar 21, 2014
      • Advisory employees · unset to 4.0
        Aug 22, 2012 to Apr 5, 2013
      • BD registered reps · unset to 0.0
        Aug 22, 2012 to Apr 5, 2013
      • Employees · unset to 6.0
        Aug 22, 2012 to Apr 5, 2013
      • State-registered IARs · unset to 0.0
        Aug 22, 2012 to Apr 5, 2013
      • Discretionary RAUM · $128M to $112M
        Aug 22, 2012 to Apr 5, 2013
      • RAUM · $128M to $112M
        Aug 22, 2012 to Apr 5, 2013
      Signals
      12 dated events
      • ••• Locked
        Apr 29, 2026 · ria principal change · fact
      • ••• Locked
        Apr 29, 2026 · ria registration change · fact
      • ••• Locked
        Jan 9, 2023 · ria registration change · fact
      • ••• Locked
        Mar 31, 2022 · RAUM change · derived
      • ••• Locked
        Feb 9, 2022 · Control person left · inference
      • ••• Locked
        Feb 9, 2022 · Control person joined · fact
      • ••• Locked
        Nov 30, 2021 · ria registration change · fact
      • ••• Locked
        Nov 30, 2021 · Control person joined · fact
      • ••• Locked
        Mar 30, 2021 · RAUM change · derived
      • ••• Locked
        Mar 30, 2021 · Control person left · inference
      • ••• Locked
        Feb 1, 2017 · ria registration change · fact
      • ••• Locked
        Aug 22, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Apr 29, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Apr 29, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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