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Former SEC-registered adviser

I•••••••• I••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 169683SEC 801-79187IAPD
Latest filing Mar 26, 2015
First filing on the tape Feb 3, 2014 · 6 filings
RAUM
$376M
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
32
18 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$376M gross assets
History
6 filings and snapshots on the tape
RAUM$376M as of Mar 26, 2015
Jun 19, 2014$73.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Feb 3, 20140 then
Employees (5.A)32 as of Mar 26, 2015
Feb 3, 201414 then
Private funds1 as of Mar 26, 2015
Jun 19, 20141 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 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
$125MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
$188M, 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
  • 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)
  • 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)
  • 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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$188M 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• C•••••• M••••• F••• L•••Hedge Fund$376M34Jun 19, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• W••••••• T•••••• · Head Of Businesscontrol
        since 01/2014 · owns less than 5%
      • D••••••• R•••••• E••••• · Non-Executive Chairmancontrol
        since 10/2014 · owns less than 5%
      • F•••••• G•••••• I••• · Acting G•••••• Counsel & Chief Compliance Officercontrol
        since 11/2014 · owns less than 5%
      • K•••• P••••• J•••• · Chief Executive Officer And Chief Investment Officercontrol
        since 06/2013 · owns less than 5%
      • D••••••• R•••••• E••••• · Membercontrol
        since 04/2013 · owns 75% or more of A••••••• L••
      • K•••• P••••• J•••• · Membercontrol
        since 04/2002 · owns 75% or more of E•••••••• L••
      Entity owners
      • I•••••••• L• · Member, A•••• C•••••• G• L••
        direct · owns 75% or more
      • A••••••• L•• · Member
        indirect · owns 50% to 75% of I•••••••• G• L••
      • E•••••••• L•• · Member
        indirect · owns 50% to 75% of I•••••••• G• L••
      • E•••••••• L•• · Limited Partner
        indirect · owns 25% to 50% of I•••••••• L•
      • I•••••••• G• L•• · G•••••• P••••••
        indirect · owns F of I•••••••• L•
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Advisory employees · 20 to 18
        Dec 4, 2014 to Mar 26, 2015
      • Assets in custody · $193M to $188M
        Dec 4, 2014 to Mar 26, 2015
      • Employees · 30 to 32
        Dec 4, 2014 to Mar 26, 2015
      • Discretionary RAUM · $193M to $376M
        Dec 4, 2014 to Mar 26, 2015
      • RAUM · $193M to $376M
        Dec 4, 2014 to Mar 26, 2015
      • Advisory employees · 13 to 20
        Jun 19, 2014 to Dec 4, 2014
      • Assets in custody · $73.9M to $193M
        Jun 19, 2014 to Dec 4, 2014
      • Employees · 22 to 30
        Jun 19, 2014 to Dec 4, 2014
      • HQ city · NEW YORK to SAN FRANCISCO
        Jun 19, 2014 to Dec 4, 2014
      • HQ state · NY to CA
        Jun 19, 2014 to Dec 4, 2014
      • Discretionary RAUM · $73.9M to $193M
        Jun 19, 2014 to Dec 4, 2014
      • RAUM · $73.9M to $193M
        Jun 19, 2014 to Dec 4, 2014
      • Related bank · false to true
        Jun 19, 2014 to Dec 4, 2014
      • Accounts · unset to 3.0
        Mar 25, 2014 to Jun 19, 2014
      • Advisory employees · 9 to 13
        Mar 25, 2014 to Jun 19, 2014
      • Assets in custody · unset to 73940399.0
        Mar 25, 2014 to Jun 19, 2014
      • Custody of client assets · false to true
        Mar 25, 2014 to Jun 19, 2014
      • Employees · 14 to 22
        Mar 25, 2014 to Jun 19, 2014
      • Private funds · unset to 1
        Mar 25, 2014 to Jun 19, 2014
      • Discretionary RAUM · unset to 73940399.0
        Mar 25, 2014 to Jun 19, 2014
      • Non-discretionary RAUM · unset to 0.0
        Mar 25, 2014 to Jun 19, 2014
      • RAUM · unset to 73940399.0
        Mar 25, 2014 to Jun 19, 2014
      • Related adviser · false to true
        Mar 25, 2014 to Jun 19, 2014
      Signals
      1 dated events
      • I•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 3, 2014 · 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