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Former SEC-registered adviser

T•••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 166487SEC 801-79763IAPD
Latest filing Mar 31, 2015
First filing on the tape May 13, 2014 · 2 filings
RAUM
$165M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$165M gross assets
History
2 filings and snapshots on the tape
RAUM$165M as of Mar 31, 2015
May 13, 2014$272M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
May 13, 20140 then
Employees (5.A)4 as of Mar 31, 2015
May 13, 20146 then
Private funds1 as of Mar 31, 2015
May 13, 20142 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2015; 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
$55.0MderivedRAUM 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
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••• C•••••• M••••• F•••• L•••Hedge Fund$165M18Jan 2, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• C••••••• I•••••• · Chief Financial Officer (And Chief Compliance Officer)control
        since 06/2012 · owns less than 5%
      • M••••••••• M••••••• J••• · Director Of Researchcontrol
        since 08/2012 · owns 10% to 25%
      • M••••••••• M•••• C••••••••• · Managing Member/Chief Investment Officercontrol
        since 03/2012 · owns 50% to 75%
      • T•••••• T•••••• P••• · Member/Director Of Business Developmentcontrol
        since 03/2012 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • T•••••• C•••••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 3
        May 13, 2014 to Mar 31, 2015
      • Employees · 6 to 4
        May 13, 2014 to Mar 31, 2015
      • Private funds · 2 to 1
        May 13, 2014 to Mar 31, 2015
      • Discretionary RAUM · $272M to $165M
        May 13, 2014 to Mar 31, 2015
      • RAUM · $272M to $165M
        May 13, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • ••• Locked
        May 13, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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