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D••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds

Former SEC-registered adviser, reporting $263M of regulatory assets.

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

Last reported RAUM
$263M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 8 Form ADV filings for this adviser, the latest 12.7 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 167201 · SEC 801-77851 · 8 filingsShow
CRD 167201SEC 801-77851First filing on the tape Mar 26, 2013, latest Mar 19, 2014IAPD
RAUM
$263M
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$127M gross assets
History
8 filings and snapshots on the tape
RAUM$263M as of Mar 19, 2014
Jun 25, 2013$255M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2014
Mar 26, 20130 then
Employees (5.A)6 as of Mar 19, 2014
Mar 26, 20132 then
Private funds3 as of Mar 19, 2014
Mar 26, 20133 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 2014; 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
$65.8MderivedRAUM 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
unknownderived2 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, otherreportedItem 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
4reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••• M•••• M••••• F••• L•••Hedge Fund$63.5M2Mar 26, 2013
      G••••••• M•••• D••••••• F••• L•Hedge Fund$39.3M3Mar 26, 2013
      G••••••• M•••• O••••••• F••• L•••Hedge Fund$24.2M1Mar 26, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• D•••••• C••••••••• · Principal, Elected Manager, Chief Executive Officer And Membercontrol
        since 01/2013 · owns 75% or more
      • T••••••• J•••• M•••••• · Elected Manager, Member, Chief Financial Officer, And Chief Compliance Officer (Cco)control
        since 01/2013 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • G••••••• D••••••• G• L••
        pooled vehicle sponsorn
      • L••••• F•••••• L••
        trust companyn
      • L••••• P•••• S••••••• I••
        broker-dealern
      • L••••• T•••••• I••••••••• L••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      • Rugby, United Kingdom
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 4
        Oct 23, 2013 to Mar 19, 2014
      • Employees · 2 to 6
        Oct 23, 2013 to Mar 19, 2014
      • Discretionary RAUM · $255M to $263M
        Oct 23, 2013 to Mar 19, 2014
      • RAUM · $255M to $263M
        Oct 23, 2013 to Mar 19, 2014
      • Accounts · unset to 2.0
        Jun 21, 2013 to Jun 25, 2013
      • Discretionary RAUM · unset to 255000000.0
        Jun 21, 2013 to Jun 25, 2013
      • Non-discretionary RAUM · unset to 0.0
        Jun 21, 2013 to Jun 25, 2013
      • RAUM · unset to 255000000.0
        Jun 21, 2013 to Jun 25, 2013
      • HQ city · SUNNY ISLE BEACH to unset
        Mar 28, 2013 to Apr 18, 2013
      • HQ state · FL to unset
        Mar 28, 2013 to Apr 18, 2013
      • Related broker-dealer · false to true
        Mar 28, 2013 to Apr 18, 2013
      Signals
      1 dated events
      • ••• Locked
        Mar 26, 2013 · 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