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C••••• I••••••••• P••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Fairfield, Connecticut

Former SEC-registered adviser, based in Fairfield, Connecticut, reporting $242M of regulatory assets.

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

As of 2024-05-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $242M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +8.5%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2024-05-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 22 Form ADV filings for this adviser, the latest 2.3 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 167769 · SEC 801-78255 · 22 filingsShow

CRD 167769SEC 801-78255First filing on the tape Jun 21, 2013, latest May 10, 2024IAPD

RAUM

$242M

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

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$242M gross assets

History

22 filings and snapshots on the tape

RAUM$242M as of Mar 26, 2024

Mar 24, 2014$165M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2024

Mar 24, 20140 then

Employees (5.A)2 as of Mar 26, 2024

Mar 24, 20147 then

Private funds1 as of Mar 26, 2024

Mar 24, 20141 then

RAUM +8.5% over the last fiscal year+19% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 10, 2024; 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: $242MderivedRAUM 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: +8.5%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $242M, 1 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

receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
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

Pooled investment vehicles$242M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $242M for 1 clientsreported
Compensation: fixed, 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••••• I••••••••• F••• L••	Private Equity Fund	$242M	6	Jun 21, 2013

Owners and control persons

Schedule A and B, latest filing

C•••••• S••••••• F••••• · Managing Membercontrol
since 08/2012 · owns 75% or more
M•••••• A•••• J•••• · Chief Compliance Officercontrol
since 08/2012 · owns less than 5%

Related persons

Schedule D 7.A

C•• M•••••• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

RAUM · $223M to $242M
May 4, 2023 to Mar 26, 2024
Assets in custody · $204M to $242M
May 4, 2023 to Mar 26, 2024
Discretionary RAUM · $223M to $242M
May 4, 2023 to Mar 26, 2024
Pooled vehicle RAUM · $223M to $242M
May 4, 2023 to Mar 26, 2024
Discretionary RAUM · $204M to $223M
Sep 16, 2022 to Mar 23, 2023
Pooled vehicle RAUM · $204M to $223M
Sep 16, 2022 to Mar 23, 2023
RAUM · $204M to $223M
Sep 16, 2022 to Mar 23, 2023
Assets in custody · $143M to $204M
Aug 26, 2021 to Mar 28, 2022
HQ city · WILTON to FAIRFIELD
Aug 26, 2021 to Mar 28, 2022
Discretionary RAUM · $143M to $204M
Aug 26, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $143M to $204M
Aug 26, 2021 to Mar 28, 2022
RAUM · $143M to $204M
Aug 26, 2021 to Mar 28, 2022
HQ city · NEW YORK to WILTON
Mar 26, 2021 to Aug 26, 2021
HQ state · NY to CT
Mar 26, 2021 to Aug 26, 2021
Assets in custody · $221M to $143M
Mar 30, 2020 to Mar 26, 2021
Employees · 3 to 2
Mar 30, 2020 to Mar 26, 2021
Discretionary RAUM · $221M to $143M
Mar 30, 2020 to Mar 26, 2021
Pooled vehicle RAUM · $221M to $143M
Mar 30, 2020 to Mar 26, 2021
RAUM · $221M to $143M
Mar 30, 2020 to Mar 26, 2021
Assets in custody · $265M to $221M
Mar 28, 2019 to Mar 30, 2020
Discretionary RAUM · $265M to $221M
Mar 28, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $265M to $221M
Mar 28, 2019 to Mar 30, 2020
RAUM · $265M to $221M
Mar 28, 2019 to Mar 30, 2020
Advisory employees · 6 to 1
Apr 30, 2018 to Mar 28, 2019
Assets in custody · $355M to $265M
Apr 30, 2018 to Mar 28, 2019
Employees · 7 to 3
Apr 30, 2018 to Mar 28, 2019
Discretionary RAUM · $355M to $265M
Apr 30, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $355M to $265M
Apr 30, 2018 to Mar 28, 2019
RAUM · $355M to $265M
Apr 30, 2018 to Mar 28, 2019
Pooled vehicle clients · unset to 1.0
Apr 27, 2017 to Mar 29, 2018
Assets in custody · $324M to $355M
Apr 27, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Apr 27, 2017 to Mar 29, 2018
Discretionary RAUM · $324M to $355M
Apr 27, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 354956000.0
Apr 27, 2017 to Mar 29, 2018
RAUM · $324M to $355M
Apr 27, 2017 to Mar 29, 2018
Assets in custody · $310M to $324M
Mar 10, 2016 to Mar 28, 2017
Discretionary RAUM · $310M to $324M
Mar 10, 2016 to Mar 28, 2017
RAUM · $310M to $324M
Mar 10, 2016 to Mar 28, 2017
Advisory employees · 7 to 6
May 6, 2015 to Mar 10, 2016
Assets in custody · $207M to $310M
May 6, 2015 to Mar 10, 2016

Signals

4 dated events

••• Locked
Mar 23, 2023 · Control person left · inference
••• Locked
Mar 26, 2021 · Control person joined · fact
••• Locked
Mar 28, 2019 · Control person left · inference
••• Locked
Jun 21, 2013 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C••••• I••••••••• P••••••• L•• · Private Equity
shared crd · organization

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