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Former SEC-registered adviser

D•••••• C•••••• M••••••••• L••

Former SEC-registered adviserWashington, District of ColumbiaCRD 168041SEC 801-78258IAPD
Latest filing Jul 22, 2015
First filing on the tape Jun 21, 2013 · 8 filings
RAUM
$570M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$76.0M gross assets
History
8 filings and snapshots on the tape
RAUM$570M as of Mar 20, 2015
Mar 21, 2014$505M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2015
Mar 21, 20140 then
Employees (5.A)3 as of Mar 20, 2015
Mar 21, 20143 then
Private funds1 as of Mar 20, 2015
Mar 21, 20141 then
RAUM +13% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 22, 2015; 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
$570MderivedRAUM 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
+13%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 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)
  • 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Y•••• P•••••• E••••• F••• I• L•Private Equity Fund$76.0M2Jun 21, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• S••••• · Managing Director And Ownercontrol
        since 06/2013 · owns 10% to 25%
      • G••••••• J••• · Chief Financial Officer And Chief Operating Officer And Chief Compliance Officer And Ownercontrol
        since 06/2013 · owns less than 5%
      • W••••• F•••• · Chief Executive Officer And Managercontrol
        since 06/2013 · owns less than 5%
      • M•••••• P••••••••• S••••• · Ownercontrol
        since 07/2012 · owns 75% or more of S•• 2••• H•••••••• L••
      • W••••• F•••• · Trusteecontrol
        since 12/2008 · owns 75% or more of A•••••• A•• R••••••• F•••• W••••• J•• R•••••••• T•••• D•••• A•••• 1•• 2•••
      Entity owners
      • A•••••• A•• R••••••• F•••• W••••• J•• R•••••••• T•••• D•••• A•••• 1•• 2••• · Owner
        direct · owns 50% to 75%
      • S•• 2••• H•••••••• L•• · Owner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • D•••••• C•••••• P••••••• I• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $505M to $570M
        Mar 21, 2014 to Mar 20, 2015
      • RAUM · $505M to $570M
        Mar 21, 2014 to Mar 20, 2015
      • Advisory activities · 1 to 2
        Oct 28, 2013 to Mar 21, 2014
      • Accounts · 0 to 1
        Jul 19, 2013 to Oct 28, 2013
      • Discretionary RAUM · $0 to $505M
        Jul 19, 2013 to Oct 28, 2013
      • RAUM · $0 to $505M
        Jul 19, 2013 to Oct 28, 2013
      Signals
      1 dated events
      • D•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 21, 2013 · 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