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Former SEC-registered adviser

C•••••• M••••••••• G••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 167937SEC 801-108073IAPD
Legal name C•••••• M••••••••• G••••• L••
Latest filing Mar 30, 2023
First filing on the tape Jul 16, 2015 · 11 filings
RAUM
$1.1B
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
17
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$653M gross assets
History
11 filings and snapshots on the tape
RAUM$1.1B as of Mar 30, 2023
Mar 31, 2017$474M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 31, 20170 then
Employees (5.A)17 as of Mar 30, 2023
Mar 31, 201713 then
Private funds5 as of Mar 30, 2023
Mar 31, 20174 then
RAUM -38% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
$91.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.1%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
-38%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.0B92%
  • Pension and profit-sharing plans$89.3M8.1%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
12reported
Financial planning clients
0reported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• L•••Hedge Fund$343M1Mar 28, 2019
      C•••••• L•••Hedge Fund$193M5Mar 31, 2017
      C•••••• C•••••• A••••••••• 2• L•••Hedge Fund$85.8M16Mar 30, 2016
      C•••••• O••••••••• F•••• L•••Hedge Fund$31.6M14Jun 20, 2013
      C•••••• O••••••••• O••••••• F•••• L•••Hedge Fund$00Mar 30, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• J•••• K• · Managing Membercontrol
        since 01/2003 · owns 50% to 75%
      • H•••••• J•••• K• · Sole Member And Managercontrol
        since 03/2001 · owns 75% or more of T•• V•••••••• L••
      • F••••• G•••••••• C••••••• · Chief Operating Officer And Chief Compliance Officer
        since 06/2013 · owns less than 5%
      Entity owners
      • T•• V•••••••• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • C•• G• 1••• L•
        bankpooled vehicle sponsorn
      • C•••••• M••••••••• A•••• L••••••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      • Hong Kong, China1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 16 to 12
        Mar 31, 2022 to Mar 30, 2023
      • Advisory employees · 10 to 11
        Mar 31, 2022 to Mar 30, 2023
      • Pension plan clients · 1 to 2
        Mar 31, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 15 to 10
        Mar 31, 2022 to Mar 30, 2023
      • Employees · 16 to 17
        Mar 31, 2022 to Mar 30, 2023
      • Discretionary RAUM · $1.8B to $1.1B
        Mar 31, 2022 to Mar 30, 2023
      • Pension RAUM · $465M to $89.3M
        Mar 31, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $1.3B to $1.0B
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $1.8B to $1.1B
        Mar 31, 2022 to Mar 30, 2023
      • Accounts · 17 to 16
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 9 to 10
        Mar 31, 2021 to Mar 31, 2022
      • Pension plan clients · 6 to 1
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 11 to 15
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 13 to 16
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.6B to $1.8B
        Mar 31, 2021 to Mar 31, 2022
      • Pension RAUM · $788M to $465M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.8B to $1.3B
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $2.6B to $1.8B
        Mar 31, 2021 to Mar 31, 2022
      • Related adviser · false to true
        Mar 31, 2021 to Mar 31, 2022
      • Related bank · false to true
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 7 to 9
        Mar 30, 2020 to Mar 31, 2021
      • Advisory activities · 1 to 2
        Mar 30, 2020 to Mar 31, 2021
      • Pension plan clients · 5 to 6
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 17 to 11
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.6B to $2.6B
        Mar 30, 2020 to Mar 31, 2021
      • Pension RAUM · $514M to $788M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $1.1B to $1.8B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $1.6B to $2.6B
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 13 to 17
        Oct 21, 2019 to Mar 30, 2020
      • Advisory activities · 2 to 1
        Oct 21, 2019 to Mar 30, 2020
      • Pension plan clients · 1 to 5
        Oct 21, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 11 to 17
        Oct 21, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.2B to $1.6B
        Oct 21, 2019 to Mar 30, 2020
      • Pension RAUM · $164M to $514M
        Oct 21, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $985M to $1.1B
        Oct 21, 2019 to Mar 30, 2020
      • RAUM · $1.2B to $1.6B
        Oct 21, 2019 to Mar 30, 2020
      • Accounts · 12 to 13
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 10 to 11
        Mar 29, 2018 to Mar 28, 2019
      • Private funds · 4 to 5
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.0B to $1.2B
        Mar 29, 2018 to Mar 28, 2019
      Signals
      6 dated events
      • C•••••• M••••••••• G•••• reported RAUM $1.1B, down 38% from $1.8B (2022-03-31 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • C•••••• M••••••••• G•••• reported RAUM $1.8B, down 31% from $2.6B (2021-03-31 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • C•••••• M••••••••• G•••• reported RAUM $2.6B, up 56% from $1.6B (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • C•••••• M••••••••• G•••• reported RAUM $1.6B, up 43% from $1.2B (2019-10-21 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • C•••••• M••••••••• G•••• reported RAUM $1.0B, up 120% from $473.8M (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • C•••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)
        Jul 16, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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