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Former SEC-registered adviser

C••••••• E••••••• M••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 169859SEC 801-78924IAPD
Latest filing Mar 13, 2019
First filing on the tape Dec 4, 2013 · 10 filings
RAUM
$362,973
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
0
beyond the principal office
Private funds
1
$342,386 gross assets
History
10 filings and snapshots on the tape
RAUM$362,973 as of Mar 13, 2019
Mar 31, 2014$46.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2019
Mar 31, 20140 then
Employees (5.A)3 as of Mar 13, 2019
Mar 31, 20144 then
Private funds1 as of Mar 13, 2019
Mar 31, 20143 then
RAUM -99% over the last fiscal year-85% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2019; 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
$120,991derivedRAUM 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
-99%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
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)
  • 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
  • Investment companies$362,973100%
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
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• E••••••• M••••• F•••no longer reportedHedge Fund$10.1M15Mar 16, 2016
      C••••••• E••••••• C•••••• M••••••••• L•no longer reportedHedge Fund$4.5M17Dec 4, 2013
      C••••••• E••••••• F•••••• O••••••••• F••• I• L•no longer reportedHedge Fund$375,5123Dec 4, 2013
      C••••••• S•••••• O••••••••• M••••• F•••Hedge Fund$342,3862Mar 22, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••••• J•••••• I•••• · Managing Member And Portfolio M••••••control
        since 05/2011 · owns 50% to 75%
      • A••••••••• J•••••• J••••• · Member, Chief Compliance Officer
        since 02/2013 · owns 10% to 25%
      • C•••• A•••• M• · Member And Portfolio M••••••
        since 02/2013 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C••••••• E••••••• G•• L••
        pooled vehicle sponsorn
      • C••••••• E••••••• R••• E••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Mar 19, 2018 to Mar 13, 2019
      • Advisory employees · 4 to 3
        Mar 19, 2018 to Mar 13, 2019
      • Employees · 4 to 3
        Mar 19, 2018 to Mar 13, 2019
      • Discretionary RAUM · $66.1M to $362,973
        Mar 19, 2018 to Mar 13, 2019
      • RAUM · $66.1M to $362,973
        Mar 19, 2018 to Mar 13, 2019
      • Other offices · unset to 0.0
        Jul 25, 2017 to Mar 19, 2018
      • Discretionary RAUM · $120M to $66.1M
        Jul 25, 2017 to Mar 19, 2018
      • RAUM · $120M to $66.1M
        Jul 25, 2017 to Mar 19, 2018
      • Employees · 6 to 4
        Mar 16, 2016 to Mar 22, 2017
      • Discretionary RAUM · $100M to $120M
        Mar 16, 2016 to Mar 22, 2017
      • RAUM · $100M to $120M
        Mar 16, 2016 to Mar 22, 2017
      • Accounts · 3 to 4
        Mar 16, 2015 to Mar 16, 2016
      • Employees · 5 to 6
        Mar 16, 2015 to Mar 16, 2016
      • Private funds · 2 to 1
        Mar 16, 2015 to Mar 16, 2016
      • Discretionary RAUM · $69.6M to $100M
        Mar 16, 2015 to Mar 16, 2016
      • RAUM · $69.6M to $100M
        Mar 16, 2015 to Mar 16, 2016
      • Advisory employees · 3 to 4
        Feb 24, 2015 to Mar 16, 2015
      • Employees · 4 to 5
        Feb 24, 2015 to Mar 16, 2015
      • Discretionary RAUM · $46.8M to $69.6M
        Feb 24, 2015 to Mar 16, 2015
      • RAUM · $46.8M to $69.6M
        Feb 24, 2015 to Mar 16, 2015
      • Private funds · 3 to 2
        Mar 31, 2014 to Feb 24, 2015
      • Accounts · 2 to 3
        Dec 4, 2013 to Mar 28, 2014
      • Employees · 3 to 4
        Dec 4, 2013 to Mar 28, 2014
      • Private funds · 2 to 3
        Dec 4, 2013 to Mar 28, 2014
      • Discretionary RAUM · $5.5M to $46.8M
        Dec 4, 2013 to Mar 28, 2014
      • RAUM · $5.5M to $46.8M
        Dec 4, 2013 to Mar 28, 2014
      Signals
      1 dated events
      • C••••••• E••••••• M••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 4, 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