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Former SEC-registered adviser

A••••••••• C•••••• A•

Former SEC-registered adviserZug, CRD 166356SEC 801-77512IAPD
Latest filing Oct 15, 2019
First filing on the tape Dec 21, 2012 · 27 filings
RAUM
$702M
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
26
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$738M gross assets
History
27 filings and snapshots on the tape
RAUM$702M as of Sep 30, 2019
Dec 10, 2013$352M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 30, 2019
Dec 10, 20130 then
Employees (5.A)26 as of Sep 30, 2019
Dec 10, 201315 then
Private funds2 as of Sep 30, 2019
Dec 10, 20131 then
RAUM -34% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 15, 2019; 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
$87.7MderivedRAUM 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
-34%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
yesreportedItem 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)
  • 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)
  • 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$702M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••••• M••••• F••• L••Hedge Fund$509M174Dec 21, 2012
      A••••••••• R••••••• V•••• O••••••••• M••••• F••• L••Hedge Fund$229M13Apr 20, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• D••••• · Chief Compliance Officercontrol
        since 07/2012 · owns 75% or more
      • M•••••• G•••• C•••• · Directorcontrol
        since 07/2015 · owns less than 5%
      • N••••••• F•••• · Directorcontrol
        since 08/2013 · owns less than 5%
      • Q••••••••• M••••••• W•••••• · Chief Operating Officercontrol
        since 07/2012 · owns less than 5%
      • D••••• W••••••• M•••••• · Shareholder
        since 04/2014 · owns 10% to 25%
      • M•••• R••••••• G••••• A•••• · Chief Financial Officer
        since 02/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••••••••• C•••••• L•
        investment adviserbankyRAUM $1.1B
      • A••••••••• C•••••• L••
        pooled vehicle sponsory
      • A••••••••• G• L••
        pooled vehicle sponsory
      • A••••••••• R••••••• V•••• G• L••
        pooled vehicle sponsory
      Advisers that list A••••••••• C•••••• A• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 25 to 26
        Mar 29, 2019 to Sep 30, 2019
      • Discretionary RAUM · $1.1B to $702M
        Mar 29, 2019 to Sep 30, 2019
      • Pooled vehicle RAUM · $1.1B to $702M
        Mar 29, 2019 to Sep 30, 2019
      • RAUM · $1.1B to $702M
        Mar 29, 2019 to Sep 30, 2019
      • Accounts · 7 to 8
        Nov 16, 2018 to Mar 29, 2019
      • Advisory employees · 13 to 10
        Nov 16, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 7 to 8
        Nov 16, 2018 to Mar 29, 2019
      • Employees · 30 to 25
        Nov 16, 2018 to Mar 29, 2019
      • Discretionary RAUM · $1.1B to $1.1B
        Nov 16, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.1B to $1.1B
        Nov 16, 2018 to Mar 29, 2019
      • RAUM · $1.1B to $1.1B
        Nov 16, 2018 to Mar 29, 2019
      • Accounts · 6 to 7
        Aug 28, 2017 to Sep 28, 2018
      • Advisory employees · 17 to 13
        Aug 28, 2017 to Sep 28, 2018
      • Pooled vehicle clients · unset to 7.0
        Aug 28, 2017 to Sep 28, 2018
      • Employees · 39 to 30
        Aug 28, 2017 to Sep 28, 2018
      • Other offices · unset to 0.0
        Aug 28, 2017 to Sep 28, 2018
      • Discretionary RAUM · $1.3B to $1.1B
        Aug 28, 2017 to Sep 28, 2018
      • Pooled vehicle RAUM · unset to 1067132151.0
        Aug 28, 2017 to Sep 28, 2018
      • RAUM · $1.3B to $1.1B
        Aug 28, 2017 to Sep 28, 2018
      • Assets in custody · $1.4B to $0
        Apr 20, 2017 to Aug 28, 2017
      • Discretionary RAUM · $1.4B to $1.3B
        Apr 20, 2017 to Aug 28, 2017
      • RAUM · $1.4B to $1.3B
        Apr 20, 2017 to Aug 28, 2017
      • Accounts · 5 to 6
        Aug 17, 2016 to Apr 20, 2017
      • Assets in custody · $2.3B to $1.4B
        Aug 17, 2016 to Apr 20, 2017
      • Employees · 35 to 39
        Aug 17, 2016 to Apr 20, 2017
      • Private funds · 1 to 2
        Aug 17, 2016 to Apr 20, 2017
      • Discretionary RAUM · $2.3B to $1.4B
        Aug 17, 2016 to Apr 20, 2017
      • RAUM · $2.3B to $1.4B
        Aug 17, 2016 to Apr 20, 2017
      • Advisory employees · 10 to 17
        Jan 8, 2016 to Aug 17, 2016
      • Assets in custody · $1.2B to $2.3B
        Jan 8, 2016 to Aug 17, 2016
      • Employees · 23 to 35
        Jan 8, 2016 to Aug 17, 2016
      • Discretionary RAUM · $1.2B to $2.3B
        Jan 8, 2016 to Aug 17, 2016
      • RAUM · $1.2B to $2.3B
        Jan 8, 2016 to Aug 17, 2016
      • Accounts · 1 to 5
        Jun 3, 2015 to Aug 14, 2015
      • Advisory employees · 8 to 10
        Jun 3, 2015 to Aug 14, 2015
      • Assets in custody · $0 to $1.2B
        Jun 3, 2015 to Aug 14, 2015
      • Employees · 20 to 23
        Jun 3, 2015 to Aug 14, 2015
      • Discretionary RAUM · $465M to $1.2B
        Jun 3, 2015 to Aug 14, 2015
      • RAUM · $465M to $1.2B
        Jun 3, 2015 to Aug 14, 2015
      • Employees · 18 to 20
        Aug 7, 2014 to Jan 19, 2015
      Signals
      2 dated events
      • A••••••••• C•••••• A• reported RAUM $701.9M, down 37% from $1.1B (2019-03-29 to 2019-09-30)
        Sep 30, 2019 · RAUM change · derived
      • A••••••••• C•••••• A• filed its initial SEC registration (Form ADV)
        Dec 21, 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