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A•••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser2 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.

Last reported RAUM
$155M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-9.5%
Form ADV, consecutive annual filings
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 12 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 167825 · SEC 801-78148 · 12 filingsShow
CRD 167825SEC 801-78148First filing on the tape May 28, 2013, latest Apr 6, 2016IAPD
RAUM
$155M
reported, Item 5.F
Discretionary
69%
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$71.6M gross assets
History
12 filings and snapshots on the tape
RAUM$155M as of Mar 30, 2016
Mar 12, 2014$299M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 12, 20140 then
Employees (5.A)7 as of Mar 30, 2016
Mar 12, 20148 then
Private funds2 as of Mar 30, 2016
Mar 12, 20141 then
RAUM -9.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 6, 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
$25.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
69%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
-9.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$107M, 5 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$107M for 5 clientsreported
Compensation
% of AUMreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• C•••••• L•••Hedge Fund$42.6M15Mar 30, 2012
      A•••••• L••••• S••••••••• M••••• F••• S••Hedge Fund$29.0M8Dec 2, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• B•••••••• B•••••• · Managing Membercontrol
        since 04/2013 · owns 50% to 75%
      • S•••••• O••••• · Managing Member, Ccocontrol
        since 04/2013 · owns 50% to 75%
      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
      • Assets in custody · $109M to $107M
        Dec 2, 2015 to Mar 30, 2016
      • Discretionary RAUM · $109M to $107M
        Dec 2, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $56.0M to $48.3M
        Dec 2, 2015 to Mar 30, 2016
      • RAUM · $165M to $155M
        Dec 2, 2015 to Mar 30, 2016
      • Accounts · 4 to 6
        Mar 17, 2015 to Dec 2, 2015
      • Assets in custody · $107M to $109M
        Mar 17, 2015 to Dec 2, 2015
      • Employees · 8 to 7
        Mar 17, 2015 to Dec 2, 2015
      • Private funds · 1 to 2
        Mar 17, 2015 to Dec 2, 2015
      • Discretionary RAUM · $107M to $109M
        Mar 17, 2015 to Dec 2, 2015
      • Non-discretionary RAUM · $64.0M to $56.0M
        Mar 17, 2015 to Dec 2, 2015
      • RAUM · $171M to $165M
        Mar 17, 2015 to Dec 2, 2015
      • Related bank · true to false
        Mar 17, 2015 to Dec 2, 2015
      • Assets in custody · $182M to $107M
        Dec 18, 2014 to Mar 17, 2015
      • Discretionary RAUM · $182M to $107M
        Dec 18, 2014 to Mar 17, 2015
      • Non-discretionary RAUM · $117M to $64.0M
        Dec 18, 2014 to Mar 17, 2015
      • RAUM · $299M to $171M
        Dec 18, 2014 to Mar 17, 2015
      • Accounts · 3 to 4
        Aug 27, 2013 to Mar 12, 2014
      • Advisory employees · 4 to 5
        Aug 27, 2013 to Mar 12, 2014
      • Assets in custody · unset to 182000000.0
        Aug 27, 2013 to Mar 12, 2014
      • Custody of client assets · false to true
        Aug 27, 2013 to Mar 12, 2014
      • Employees · 7 to 8
        Aug 27, 2013 to Mar 12, 2014
      • Discretionary RAUM · $231M to $182M
        Aug 27, 2013 to Mar 12, 2014
      • Non-discretionary RAUM · $0 to $117M
        Aug 27, 2013 to Mar 12, 2014
      • RAUM · $231M to $299M
        Aug 27, 2013 to Mar 12, 2014
      • Accounts · unset to 3.0
        Jul 1, 2013 to Aug 8, 2013
      • Advisory employees · 2 to 4
        Jul 1, 2013 to Aug 8, 2013
      • Advisory activities · 2 to 3
        Jul 1, 2013 to Aug 8, 2013
      • Employees · 5 to 7
        Jul 1, 2013 to Aug 8, 2013
      • Private funds · unset to 1
        Jul 1, 2013 to Aug 8, 2013
      • Discretionary RAUM · unset to 231000000.0
        Jul 1, 2013 to Aug 8, 2013
      • Non-discretionary RAUM · unset to 0.0
        Jul 1, 2013 to Aug 8, 2013
      • RAUM · unset to 231000000.0
        Jul 1, 2013 to Aug 8, 2013
      • Related bank · false to true
        Jul 1, 2013 to Aug 8, 2013
      • Employees · 2 to 5
        Jun 14, 2013 to Jul 1, 2013
      • HQ city · unset to NEW YORK
        May 28, 2013 to Jun 14, 2013
      • HQ state · unset to NY
        May 28, 2013 to Jun 14, 2013
      Signals
      1 dated events
      • ••• Locked
        May 28, 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