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Former SEC-registered adviser

C•••• 5•• L••

Former SEC-registered adviserLondon, CRD 168068SEC 801-78378IAPD
Latest filing Feb 12, 2016
First filing on the tape Jul 22, 2013 · 10 filings
RAUM
$528,803
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$528,803 as of Feb 12, 2016
Mar 18, 2014$572,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 12, 2016
Mar 18, 20140 then
Employees (5.A)2 as of Feb 12, 2016
Mar 18, 20142 then
Private funds: no history
RAUM -17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 12, 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
$25,181derivedRAUM 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
-17%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
21reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••Hedge Fund$01Apr 25, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• Z••••• •••• · Managing Membercontrol
        since 05/2013 · owns 75% or more
      • P•••••• S•••• •••• · Chief Compliance Officercontrol
        since 05/2013 · owns less than 5%
      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
      • Discretionary RAUM · $640,000 to $528,803
        Aug 17, 2015 to Feb 12, 2016
      • RAUM · $640,000 to $528,803
        Aug 17, 2015 to Feb 12, 2016
      • Succession · true to false
        Aug 17, 2015 to Feb 12, 2016
      • Succession · false to true
        Mar 20, 2015 to Aug 17, 2015
      • Accounts · 18 to 21
        Feb 4, 2015 to Mar 20, 2015
      • Discretionary RAUM · $572,000 to $640,000
        Feb 4, 2015 to Mar 20, 2015
      • RAUM · $572,000 to $640,000
        Feb 4, 2015 to Mar 20, 2015
      • Accounts · 0 to 18
        Aug 12, 2013 to Mar 18, 2014
      • Discretionary RAUM · $0 to $572,000
        Aug 12, 2013 to Mar 18, 2014
      • RAUM · $0 to $572,000
        Aug 12, 2013 to Mar 18, 2014
      Signals
      2 dated events
      • C•••• 5•• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Aug 17, 2015 · Succession (Item 4) · fact
      • C•••• 5•• L•• filed its initial SEC registration (Form ADV)
        Jul 22, 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