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Former SEC-registered adviser

D••••••••• C•••••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 166018SEC 801-99371IAPD
Latest filing Mar 16, 2018
First filing on the tape May 29, 2015 · 7 filings
RAUM
$13.6M
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
0
beyond the principal office
Private funds
1
$13.6M gross assets
History
7 filings and snapshots on the tape
RAUM$13.6M as of Mar 16, 2018
Feb 25, 2016$124M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2018
Feb 25, 20160 then
Employees (5.A)4 as of Mar 16, 2018
Feb 25, 20167 then
Private funds1 as of Mar 16, 2018
Feb 25, 20161 then
RAUM -87% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2018; 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
$4.5MderivedRAUM 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
-87%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
$13.6M, 3 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
  • 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)
  • 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$13.6M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$13.6M for 3 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••• F••••• I••••••••• L••no longer reportedHedge Fund$75.0M2Nov 29, 2012
      T•• G•••••• L•no longer reportedHedge Fund$48.0M2Nov 29, 2012
      D••••••••• C•••••• A••••• M••••• F••• L•••Hedge Fund$13.6M46Nov 29, 2012
      T•••••• C••••••• L••no longer reportedHedge Fund$13.0M5Nov 29, 2012
      S•••••• L••no longer reportedHedge Fund$1.4M3Nov 29, 2012
      D••••• D•••••• L••no longer reportedHedge Fund$1.0M5Nov 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T••••••• M••••••• S•••• · Chief Compliance Officer & Member, Managercontrol
        since 03/2012 · owns 10% to 25%
      • T••••••• P•••• E••••• · Member, Managercontrol
        since 03/2012 · owns 25% to 50%
      • T••••••• M••••••• S•••• · Membercontrol
        since 07/2014 · owns 25% to 50% of T•••••• S•••••• C••••••
      • T••••••• M••••••• P••• · Membercontrol
        since 07/2014 · owns 25% to 50% of T•••••• S•••••• C••••••
      • T••••••• P•••••••• E•• · Membercontrol
        since 07/2014 · owns 25% to 50% of T•••••• S•••••• C••••••
      Entity owners
      • T•••••• S•••••• C•••••• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • D••••••••• C•••••• G••• L•••••
        bankpooled vehicle sponsorn
      • T•••••• M••••••••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 2
        May 16, 2017 to Mar 16, 2018
      • Charity clients · unset to 0.0
        May 16, 2017 to Mar 16, 2018
      • Corporate clients · unset to 0.0
        May 16, 2017 to Mar 16, 2018
      • HNW clients · unset to 0.0
        May 16, 2017 to Mar 16, 2018
      • Individual clients · unset to 0.0
        May 16, 2017 to Mar 16, 2018
      • Pension plan clients · unset to 0.0
        May 16, 2017 to Mar 16, 2018
      • Pooled vehicle clients · unset to 3.0
        May 16, 2017 to Mar 16, 2018
      • Assets in custody · $0 to $13.6M
        May 16, 2017 to Mar 16, 2018
      • Employees · 7 to 4
        May 16, 2017 to Mar 16, 2018
      • Other offices · unset to 0.0
        May 16, 2017 to Mar 16, 2018
      • Discretionary RAUM · $107M to $13.6M
        May 16, 2017 to Mar 16, 2018
      • Pooled vehicle RAUM · unset to 13649544.0
        May 16, 2017 to Mar 16, 2018
      • RAUM · $107M to $13.6M
        May 16, 2017 to Mar 16, 2018
      • Discretionary RAUM · $124M to $107M
        Apr 29, 2016 to Mar 8, 2017
      • RAUM · $124M to $107M
        Apr 29, 2016 to Mar 8, 2017
      • Discretionary RAUM · $112M to $124M
        Jun 17, 2015 to Feb 25, 2016
      • RAUM · $112M to $124M
        Jun 17, 2015 to Feb 25, 2016
      • Private funds · 2 to 1
        May 29, 2015 to Jun 17, 2015
      Signals
      1 dated events
      • D••••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        May 29, 2015 · 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