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A•• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $141M of regulatory assets.

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

Last reported RAUM
$141M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-60%
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 169998 · SEC 801-79287 · 17 filingsShow
CRD 169998SEC 801-79287First filing on the tape Feb 25, 2014, latest Jul 11, 2019IAPD
RAUM
$141M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$141M gross assets
History
17 filings and snapshots on the tape
RAUM$141M as of Mar 29, 2019
Feb 27, 2015$371M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Feb 27, 20150 then
Employees (5.A)3 as of Mar 29, 2019
Feb 27, 20155 then
Private funds1 as of Mar 29, 2019
Feb 27, 20152 then
RAUM -60% over the last fiscal year-38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 11, 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
$35.1MderivedRAUM 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
-60%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
$141M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$141M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$141M for 4 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
      A•• L••• S•••• E••••• F••• I• L•Hedge Fund$161M4Mar 24, 2016
      A•• S•• F••• L••no longer reportedHedge Fund$782,32611Feb 27, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• P•••••••• •••• · Chief Investment Officer And Managing Membercontrol
        since 09/2013 · owns 75% or more
      • R••••••••• M••••• A•••• · Controller And Chief Compliance Officercontrol
        since 06/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•• C•••••• A••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Nov 5, 2018 to Mar 29, 2019
      • Advisory employees · 3 to 2
        Nov 5, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 5 to 4
        Nov 5, 2018 to Mar 29, 2019
      • Assets in custody · $351M to $141M
        Nov 5, 2018 to Mar 29, 2019
      • Employees · 5 to 3
        Nov 5, 2018 to Mar 29, 2019
      • Private funds · 2 to 1
        Nov 5, 2018 to Mar 29, 2019
      • Discretionary RAUM · $351M to $141M
        Nov 5, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $351M to $141M
        Nov 5, 2018 to Mar 29, 2019
      • RAUM · $351M to $141M
        Nov 5, 2018 to Mar 29, 2019
      • Employees · 6 to 5
        Dec 15, 2017 to Mar 22, 2018
      • Accounts · 7 to 5
        Dec 15, 2017 to Mar 22, 2018
      • Pooled vehicle clients · 7 to 5
        Dec 15, 2017 to Mar 22, 2018
      • Assets in custody · $368M to $351M
        Dec 15, 2017 to Mar 22, 2018
      • Private funds · 3 to 2
        Dec 15, 2017 to Mar 22, 2018
      • Discretionary RAUM · $368M to $351M
        Dec 15, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · $368M to $351M
        Dec 15, 2017 to Mar 22, 2018
      • RAUM · $368M to $351M
        Dec 15, 2017 to Mar 22, 2018
      • Pooled vehicle clients · unset to 7.0
        Mar 30, 2017 to Dec 15, 2017
      • Other offices · unset to 0.0
        Mar 30, 2017 to Dec 15, 2017
      • Pooled vehicle RAUM · unset to 367966439.0
        Mar 30, 2017 to Dec 15, 2017
      • Assets in custody · $1.4B to $368M
        May 19, 2016 to Mar 30, 2017
      • Discretionary RAUM · $599M to $368M
        May 19, 2016 to Mar 30, 2017
      • RAUM · $599M to $368M
        May 19, 2016 to Mar 30, 2017
      • Accounts · 6 to 7
        Dec 22, 2015 to Mar 24, 2016
      • Assets in custody · $305M to $1.4B
        Dec 22, 2015 to Mar 24, 2016
      • Employees · 5 to 6
        Dec 22, 2015 to Mar 24, 2016
      • Private funds · 2 to 3
        Dec 22, 2015 to Mar 24, 2016
      • Discretionary RAUM · $371M to $599M
        Dec 22, 2015 to Mar 24, 2016
      • RAUM · $371M to $599M
        Dec 22, 2015 to Mar 24, 2016
      • Accounts · 4 to 6
        Sep 15, 2014 to Feb 27, 2015
      • Assets in custody · $130M to $305M
        Sep 15, 2014 to Feb 27, 2015
      • Private funds · 1 to 2
        Sep 15, 2014 to Feb 27, 2015
      • Discretionary RAUM · $130M to $371M
        Sep 15, 2014 to Feb 27, 2015
      • RAUM · $130M to $371M
        Sep 15, 2014 to Feb 27, 2015
      • Private funds · 2 to 1
        Feb 25, 2014 to Feb 27, 2014
      Signals
      5 dated events
      • ••• Locked
        Jul 11, 2019 · Control person joined · fact
      • ••• Locked
        Jul 11, 2019 · Control person left · inference
      • ••• Locked
        Mar 29, 2019 · RAUM change · derived
      • ••• Locked
        Feb 27, 2014 · ria registration change · fact
      • ••• Locked
        Feb 25, 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