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Former SEC-registered adviser

A••••••• G••••• M•••• L••

Former SEC-registered adviserNew York, New YorkCRD 167339SEC 801-77805IAPD

Latest filing Mar 31, 2014

First filing on the tape Mar 19, 2013 · 5 filings

RAUM

$717M

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

8 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$677M gross assets

History

5 filings and snapshots on the tape

RAUM$717M as of Mar 31, 2014

May 15, 2013$275M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2014

Mar 19, 20130 then

Employees (5.A)17 as of Mar 31, 2014

Mar 19, 201314 then

Private funds1 as of Mar 31, 2014

May 15, 20131 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Mar 31, 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: $179MderivedRAUM 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)
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: 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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
A••••••• G••••• M•••• M••••• F•••• L•	Hedge Fund	$677M	79	May 15, 2013

Owners and control persons

Schedule A and B, latest filing

A•••••••• K••••• T••••• · Chairman And Chief Investment Officercontrol
since 02/2012 · owns 75% or more
N••••••••• D•••••• P•••• · Chief Financial Officercontrol
since 05/2012 · owns less than 5%
P•••• D••••••• L•••••• · Presidentcontrol
since 02/2013 · owns less than 5%
S•••• Z•••••• · General Counsel And Chief Compliance Officercontrol
since 04/2012 · owns less than 5%

Related persons

Schedule D 7.A

A••••••• G••••• M•••• G• L••
investment adviserbankpooled vehicle sponsorn
A••••••• G••••• M•••• M••••• G• L••
investment adviserbankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · 275000000.0 to unset
May 17, 2013 to Mar 31, 2014
Custody of client assets · true to false
May 17, 2013 to Mar 31, 2014
Discretionary RAUM · $275M to $717M
May 17, 2013 to Mar 31, 2014
RAUM · $275M to $717M
May 17, 2013 to Mar 31, 2014
Related adviser · false to true
May 17, 2013 to Mar 31, 2014
Assets in custody · unset to 275000000.0
May 15, 2013 to May 17, 2013
Custody of client assets · false to true
May 15, 2013 to May 17, 2013
Related bank · false to true
May 15, 2013 to May 17, 2013
Accounts · unset to 4.0
Mar 26, 2013 to May 15, 2013
Advisory employees · 7 to 8
Mar 26, 2013 to May 15, 2013
Employees · 14 to 17
Mar 26, 2013 to May 15, 2013
Private funds · unset to 1
Mar 26, 2013 to May 15, 2013
Discretionary RAUM · unset to 275000000.0
Mar 26, 2013 to May 15, 2013
Non-discretionary RAUM · unset to 0.0
Mar 26, 2013 to May 15, 2013
RAUM · unset to 275000000.0
Mar 26, 2013 to May 15, 2013

Signals

1 dated events

A••••••• G••••• M•••• L•• filed its initial SEC registration (Form ADV)
Mar 19, 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