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Former SEC-registered adviser

S••••• C•••••• P•••••••• L•

Former SEC-registered adviserStamford, ConnecticutCRD 168423SEC 801-78383IAPD
Latest filing Feb 22, 2017
First filing on the tape Jul 23, 2013 · 10 filings
RAUM
$133M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$133M gross assets
History
10 filings and snapshots on the tape
RAUM$133M as of Feb 22, 2017
Feb 24, 2014$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 22, 2017
Feb 24, 20140 then
Employees (5.A)7 as of Feb 22, 2017
Feb 24, 201413 then
Private funds1 as of Feb 22, 2017
Feb 24, 20141 then
RAUM -82% over the last fiscal year-9.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2017; 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
$44.3MderivedRAUM 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
-82%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 pooled vehiclesreportedItem 5.G
Custody
$133M, 3 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$133M for 3 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• M••••• F••• L••no longer reportedHedge Fund$724M83Dec 9, 2013
      S••••• A•••••••• M••••• F••• L••Hedge Fund$133M24Jun 17, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • I••••••• P••••••• J••••• · Chief Compliance Officercontrol
        since 09/2013 · owns less than 5%
      • S•••••••• L•••••••• J••••• · Limited Partner/Chief Investment Officercontrol
        since 06/2013 · owns 75% or more
      • S•••••••• L•••••••• J••••• · Sole Membercontrol
        since 06/2013 · owns 75% or more of S••••• C•••••• G•••••• P•••••• L••
      • C••••••• A•••••• B••• · Chief Financial Officer
        since 02/2015 · owns less than 5%
      Entity owners
      • S••••• C•••••• G•••••• P•••••• L•• · G•••••• Partner
        direct · 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
      • Assets in custody · $100M to $133M
        Jun 17, 2016 to Feb 22, 2017
      • Employees · 8 to 7
        Jun 17, 2016 to Feb 22, 2017
      • Discretionary RAUM · $100M to $133M
        Jun 17, 2016 to Feb 22, 2017
      • RAUM · $100M to $133M
        Jun 17, 2016 to Feb 22, 2017
      • Advisory employees · 13 to 5
        Jan 15, 2016 to Jun 17, 2016
      • Assets in custody · $724M to $100M
        Jan 15, 2016 to Jun 17, 2016
      • Employees · 17 to 8
        Jan 15, 2016 to Jun 17, 2016
      • Discretionary RAUM · $724M to $100M
        Jan 15, 2016 to Jun 17, 2016
      • RAUM · $724M to $100M
        Jan 15, 2016 to Jun 17, 2016
      • Advisory employees · 15 to 13
        Aug 3, 2015 to Jan 15, 2016
      • Assets in custody · $1.0B to $724M
        Aug 3, 2015 to Jan 15, 2016
      • Employees · 18 to 17
        Aug 3, 2015 to Jan 15, 2016
      • Discretionary RAUM · $1.0B to $724M
        Aug 3, 2015 to Jan 15, 2016
      • RAUM · $1.0B to $724M
        Aug 3, 2015 to Jan 15, 2016
      • Advisory employees · 13 to 15
        Jan 30, 2015 to Jul 23, 2015
      • Assets in custody · $446M to $1.0B
        Jan 30, 2015 to Jul 23, 2015
      • Employees · 16 to 18
        Jan 30, 2015 to Jul 23, 2015
      • HQ city · GREENWICH to STAMFORD
        Jan 30, 2015 to Jul 23, 2015
      • Discretionary RAUM · $466M to $1.0B
        Jan 30, 2015 to Jul 23, 2015
      • RAUM · $466M to $1.0B
        Jan 30, 2015 to Jul 23, 2015
      • Advisory employees · 10 to 13
        Feb 24, 2014 to Jan 30, 2015
      • Assets in custody · $180M to $446M
        Feb 24, 2014 to Jan 30, 2015
      • Employees · 13 to 16
        Feb 24, 2014 to Jan 30, 2015
      • Discretionary RAUM · $180M to $466M
        Feb 24, 2014 to Jan 30, 2015
      • RAUM · $180M to $466M
        Feb 24, 2014 to Jan 30, 2015
      • Advisory employees · 9 to 10
        Dec 10, 2013 to Feb 24, 2014
      • Assets in custody · $142M to $180M
        Dec 10, 2013 to Feb 24, 2014
      • Employees · 10 to 13
        Dec 10, 2013 to Feb 24, 2014
      • Discretionary RAUM · $142M to $180M
        Dec 10, 2013 to Feb 24, 2014
      • RAUM · $142M to $180M
        Dec 10, 2013 to Feb 24, 2014
      • Accounts · 0 to 3
        Jul 23, 2013 to Dec 9, 2013
      • Advisory employees · 7 to 9
        Jul 23, 2013 to Dec 9, 2013
      • Assets in custody · unset to 142000170.0
        Jul 23, 2013 to Dec 9, 2013
      • Custody of client assets · false to true
        Jul 23, 2013 to Dec 9, 2013
      • Employees · 8 to 10
        Jul 23, 2013 to Dec 9, 2013
      • Private funds · unset to 1
        Jul 23, 2013 to Dec 9, 2013
      • Discretionary RAUM · $0 to $142M
        Jul 23, 2013 to Dec 9, 2013
      • RAUM · $0 to $142M
        Jul 23, 2013 to Dec 9, 2013
      Signals
      1 dated events
      • ••• Locked
        Jul 23, 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