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Former SEC-registered adviser

A•••• H••• C•••••• L••

Former SEC-registered adviserWestport, ConnecticutCRD 165933SEC 801-77442IAPD
Latest filing Apr 24, 2014
First filing on the tape Nov 30, 2012 · 5 filings
RAUM
$482M
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
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$482M gross assets
History
5 filings and snapshots on the tape
RAUM$243M as of Mar 28, 2014
Mar 28, 2013$452M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 28, 20130 then
Employees (5.A)12 as of Mar 28, 2014
Mar 28, 201313 then
Private funds1 as of Mar 28, 2014
Mar 28, 20131 then
RAUM +6.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 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
$121MderivedRAUM 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
-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 pooled vehiclesreportedItem 5.G
Custody
$192M, 1 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)
  • 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
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$192M for 1 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• H••• M••••• F••• L•••Hedge Fund$482M43Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M••••• •••• · Chief Compliance Officer, Of Advisercontrol
        since 10/2012 · owns less than 5%
      • E••• I•• J•••• J••••• · Chief Operating Officer, Of Advisercontrol
        since 07/2012 · owns less than 5%
      • S•••••••• A•••••• F•••••••• · Managing Member/Chief Investment Officer, Of Advisercontrol
        since 07/2012 · owns less than 5%
      • S•••••••• A•••••• F•••••••• · Managing Membercontrol
        since 07/2012 · owns 75% or more of A••• L••
      Entity owners
      • A•••• H••• C•••••• P••••••• L• · Member And Owner Of Adviser
        direct · owns 75% or more
      • A••• L•• · General Partner
        indirect · owns 75% or more of A•••• H••• C•••••• P••••••• L•
      Related persons
      Schedule D 7.A
      • A•••• H••• C•••••• M••••••••• L••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 6
        Mar 28, 2014 to Apr 24, 2014
      • Assets in custody · $106M to $192M
        Mar 28, 2014 to Apr 24, 2014
      • Employees · 12 to 11
        Mar 28, 2014 to Apr 24, 2014
      • Discretionary RAUM · $243M to $482M
        Mar 28, 2014 to Apr 24, 2014
      • RAUM · $243M to $482M
        Mar 28, 2014 to Apr 24, 2014
      • Advisory employees · 8 to 7
        Mar 28, 2013 to Mar 28, 2014
      • Assets in custody · $0 to $106M
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 13 to 12
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $452M to $243M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $452M to $243M
        Mar 28, 2013 to Mar 28, 2014
      • Accounts · 0 to 4
        Dec 18, 2012 to Mar 28, 2013
      • Advisory employees · 2 to 8
        Dec 18, 2012 to Mar 28, 2013
      • Assets in custody · unset to 0.0
        Dec 18, 2012 to Mar 28, 2013
      • Custody of client assets · false to true
        Dec 18, 2012 to Mar 28, 2013
      • Employees · 12 to 13
        Dec 18, 2012 to Mar 28, 2013
      • Private funds · unset to 1
        Dec 18, 2012 to Mar 28, 2013
      • Discretionary RAUM · $0 to $452M
        Dec 18, 2012 to Mar 28, 2013
      • RAUM · $0 to $452M
        Dec 18, 2012 to Mar 28, 2013
      • Related adviser · false to true
        Dec 18, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • A•••• H••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Nov 30, 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