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Former SEC-registered adviser

C••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 170117SEC 801-79910IAPD
Latest filing Oct 14, 2015
First filing on the tape Jun 6, 2014 · 3 filings
RAUM
$117M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$92.4M gross assets
History
3 filings and snapshots on the tape
RAUM$117M as of Oct 14, 2015
Jun 6, 2014$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 14, 2015
Jun 6, 20140 then
Employees (5.A)2 as of Oct 14, 2015
Jun 6, 20142 then
Private funds2 as of Oct 14, 2015
Jun 6, 20142 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 14, 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
$39.1MderivedRAUM 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
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
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)
  • 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
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• V•••• P•••••••• L••Hedge Fund$87.4M4Dec 20, 2013
      C••••••••• V•••• P••••••• I•• L•••Hedge Fund$5.0M2Oct 14, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• J•••••• J•• · Managing Partnercontrol
        since 04/2012 · owns 50% to 75%
      • R••••••••• C•••• · Partner And Chief Compliance Officercontrol
        since 04/2012 · owns 25% to 50%
      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
      • Accounts · 1 to 3
        Mar 31, 2015 to Oct 14, 2015
      • Assets in custody · 85058730.0 to unset
        Mar 31, 2015 to Oct 14, 2015
      • Custody of client assets · true to false
        Mar 31, 2015 to Oct 14, 2015
      • Private funds · 1 to 2
        Mar 31, 2015 to Oct 14, 2015
      • Discretionary RAUM · $85.1M to $117M
        Mar 31, 2015 to Oct 14, 2015
      • RAUM · $85.1M to $117M
        Mar 31, 2015 to Oct 14, 2015
      • Assets in custody · $153M to $85.1M
        Jun 6, 2014 to Mar 31, 2015
      • Private funds · 2 to 1
        Jun 6, 2014 to Mar 31, 2015
      • Discretionary RAUM · $153M to $85.1M
        Jun 6, 2014 to Mar 31, 2015
      • RAUM · $153M to $85.1M
        Jun 6, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • C••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 6, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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