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Former SEC-registered adviser

J••••• P•••••••• L••

Former SEC-registered adviserBurlingame, CaliforniaCRD 167048SEC 801-79422IAPD
Latest filing Feb 9, 2018
First filing on the tape Mar 17, 2014 · 9 filings
RAUM
$49.1M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$49.1M gross assets
History
9 filings and snapshots on the tape
RAUM$43.2M as of Mar 31, 2017
Mar 30, 2015$58.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2017
Mar 30, 20152 then
Employees (5.A)2 as of Mar 31, 2017
Mar 30, 20152 then
Private funds1 as of Mar 31, 2017
Mar 30, 20151 then
RAUM -12% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Feb 9, 2018; every figure names its basis
RAUM per advisor
$49.1MderivedRAUM 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
$16.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
$34.5M, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$49.1M100%
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
$34.5M 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• S••••• M••••• F••• L•••Hedge Fund$49.1M32Mar 17, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• S•••••• C•••••• · Chief Compliance Officer And Managercontrol
        since 02/2013 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Nov 6, 2017 to Dec 22, 2017
      • BD registered reps · 2 to 0
        Nov 6, 2017 to Dec 22, 2017
      • Assets in custody · $34.8M to $34.5M
        Nov 6, 2017 to Dec 22, 2017
      • Employees · 2 to 1
        Nov 6, 2017 to Dec 22, 2017
      • Financial planning clients · 0 to unset
        Nov 6, 2017 to Dec 22, 2017
      • State-registered IARs · 2 to 1
        Nov 6, 2017 to Dec 22, 2017
      • Discretionary RAUM · $53.1M to $49.1M
        Nov 6, 2017 to Dec 22, 2017
      • Pooled vehicle RAUM · $53.1M to $49.1M
        Nov 6, 2017 to Dec 22, 2017
      • RAUM · $53.1M to $49.1M
        Nov 6, 2017 to Dec 22, 2017
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Nov 6, 2017
      • Assets in custody · $31.5M to $34.8M
        Mar 31, 2017 to Nov 6, 2017
      • Other offices · unset to 0.0
        Mar 31, 2017 to Nov 6, 2017
      • Discretionary RAUM · $43.2M to $53.1M
        Mar 31, 2017 to Nov 6, 2017
      • Pooled vehicle RAUM · unset to 53061217.0
        Mar 31, 2017 to Nov 6, 2017
      • RAUM · $43.2M to $53.1M
        Mar 31, 2017 to Nov 6, 2017
      • Accounts · 4 to 3
        Mar 30, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $38.1M to $31.5M
        Mar 30, 2016 to Mar 31, 2017
      • HQ city · SAN FRANCISCO to BURLINGAME
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $55.6M to $43.2M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $55.6M to $43.2M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 3 to 4
        Mar 30, 2015 to Mar 30, 2016
      • Assets in custody · $0 to $38.1M
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $58.4M to $55.6M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $58.4M to $55.6M
        Mar 30, 2015 to Mar 30, 2016
      • Assets in custody · unset to 0.0
        Jun 5, 2014 to Mar 30, 2015
      • Custody of client assets · false to true
        Jun 5, 2014 to Mar 30, 2015
      • Discretionary RAUM · $39.8M to $58.4M
        Jun 5, 2014 to Mar 30, 2015
      • RAUM · $39.8M to $58.4M
        Jun 5, 2014 to Mar 30, 2015
      Signals
      1 dated events
      • J••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 17, 2014 · 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