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C•••••••• C•••••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $155M of regulatory assets.

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

As of 2016-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $155M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2016-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 10.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 166956 · SEC 801-100351 · 3 filingsShow

CRD 166956SEC 801-100351First filing on the tape Jun 2, 2015, latest Mar 29, 2016IAPD

RAUM

$155M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$59.6M gross assets

History

3 filings and snapshots on the tape

RAUM$155M as of Mar 29, 2016

Jun 2, 2015$60.9M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 29, 2016

Jun 2, 20150 then

Employees (5.A)6 as of Mar 29, 2016

Jun 2, 20156 then

Private funds1 as of Mar 29, 2016

Jun 2, 20152 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 29, 2016; 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: $30.9MderivedRAUM 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 vehicles, portfolio management for investment companiesreportedItem 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

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: 5reported
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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C•••••••• M••••• F•••• L•	Hedge Fund	$59.6M	11	Aug 20, 2014

Owners and control persons

Schedule A and B, latest filing

F•••••••• E•••••••• N•• · Chief Investment Officercontrol
since 02/2013 · owns 75% or more
L•••••• A•••••• L•••• · Chief Operating Officercontrol
since 02/2014 · owns less than 5%
W••••••• J•••• A••• · Chief Financial Officer, Chief Compliance Officercontrol
since 02/2014 · owns less than 5%
F•••••••• E•••••••• N•• · Membercontrol
since 02/2014 · owns 75% or more of E•••••• M••••••••• L••

Entity owners

E•••••• M••••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

C•••••••• M••••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 3 to 5
Jun 11, 2015 to Mar 29, 2016
Advisory activities · 1 to 2
Jun 11, 2015 to Mar 29, 2016
Discretionary RAUM · $60.9M to $155M
Jun 11, 2015 to Mar 29, 2016
RAUM · $60.9M to $155M
Jun 11, 2015 to Mar 29, 2016
Private funds · 2 to 1
Jun 2, 2015 to Jun 11, 2015

Signals

2 dated events

••• Locked
Jun 11, 2015 · ria registration change · fact
••• Locked
Jun 2, 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