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B••• C•••••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviser3 private funds· San Juan, PR

Former SEC-registered adviser, based in San Juan, PR, reporting $68.8M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$68.8M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-72%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 169968 · SEC 801-78995 · 8 filingsShow
CRD 169968SEC 801-78995First filing on the tape Dec 19, 2013, latest Mar 29, 2018IAPD
RAUM
$68.8M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$68.8M gross assets
History
8 filings and snapshots on the tape
RAUM$68.8M as of Mar 29, 2018
Mar 31, 2015$377M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 31, 20150 then
Employees (5.A)4 as of Mar 29, 2018
Mar 31, 20154 then
Private funds3 as of Mar 29, 2018
Mar 31, 20153 then
RAUM -72% over the last fiscal year-43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$22.9MderivedRAUM 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
-72%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 vehicles, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$68.8M100%
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• S••no longer reportedOther Private Fund$264M1Apr 8, 2016
      B••• I•• L••Hedge Fund$56.5M2Apr 8, 2016
      B••• E•••• F•••• L•••Hedge Fund$11.2M1Mar 30, 2012
      B••• E•••• F•••• L•Hedge Fund$1.1M1Mar 30, 2012
      B••• E•••• E•••••••• L••no longer reportedOther Private Fund$596,9402Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• M•••• R••••••• · President And Acting Chief Compliance Officercontrol
        since 04/2013 · owns 75% or more
      Related persons
      Schedule D 7.A
      • B••• A••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $246M to $68.8M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 68759780.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $246M to $68.8M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 5 to 3
        Apr 8, 2016 to Mar 31, 2017
      • Advisory activities · 1 to 2
        Apr 8, 2016 to Mar 31, 2017
      • Financial planning clients · 0 to unset
        Apr 8, 2016 to Mar 31, 2017
      • Private funds · 5 to 3
        Apr 8, 2016 to Mar 31, 2017
      • Discretionary RAUM · $421M to $246M
        Apr 8, 2016 to Mar 31, 2017
      • RAUM · $421M to $246M
        Apr 8, 2016 to Mar 31, 2017
      • Accounts · 4 to 5
        Mar 31, 2015 to Apr 8, 2016
      • Advisory activities · 2 to 1
        Mar 31, 2015 to Apr 8, 2016
      • Private funds · 3 to 5
        Mar 31, 2015 to Apr 8, 2016
      • Discretionary RAUM · $377M to $421M
        Mar 31, 2015 to Apr 8, 2016
      • RAUM · $377M to $421M
        Mar 31, 2015 to Apr 8, 2016
      • Accounts · 3 to 4
        Jun 30, 2014 to Mar 31, 2015
      • Advisory employees · 3 to 1
        Jun 30, 2014 to Mar 31, 2015
      • BD registered reps · 1 to 0
        Jun 30, 2014 to Mar 31, 2015
      • Employees · 6 to 4
        Jun 30, 2014 to Mar 31, 2015
      • Financial planning clients · unset to 0
        Jun 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $185M to $377M
        Jun 30, 2014 to Mar 31, 2015
      • RAUM · $185M to $377M
        Jun 30, 2014 to Mar 31, 2015
      • Accounts · 0 to 3
        Dec 19, 2013 to Mar 27, 2014
      • Private funds · unset to 3
        Dec 19, 2013 to Mar 27, 2014
      • Discretionary RAUM · $0 to $185M
        Dec 19, 2013 to Mar 27, 2014
      • RAUM · $0 to $185M
        Dec 19, 2013 to Mar 27, 2014
      Signals
      2 dated events
      • ••• Locked
        Mar 29, 2018 · RAUM change · derived
      • ••• Locked
        Dec 19, 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