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Former SEC-registered adviser

P••••• A•••• M••••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 170790SEC 801-107459websiteIAPD
Latest filing Mar 30, 2022
First filing on the tape Mar 15, 2016 · 9 filings
RAUM
$17.0M
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
2
$17.0M gross assets
History
9 filings and snapshots on the tape
RAUM$17.0M as of Mar 30, 2022
Mar 27, 2017$212M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 27, 20170 then
Employees (5.A)3 as of Mar 30, 2022
Mar 27, 20173 then
Private funds2 as of Mar 30, 2022
Mar 27, 20172 then
RAUM -93% over the last fiscal year-70% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2022; 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
$5.7MderivedRAUM 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
-93%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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$17.0M100%
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
      R•••••••• V•••• F••• L•Hedge Fund$17.0M13Mar 18, 2014
      I••••• I••••••••• L•Hedge Fund$00Mar 15, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• A•••••• J••• · Member/Coo/Cfo/Ccocontrol
        since 08/2016 · owns 10% to 25%
      • R••••••••• S•••• M•••••• · Managing Member (R•••••••• C•••••• M••••••••• L••)control
        since 03/2010 · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••• C•••••• L••
        investment advisern
      • R•••••••• C•••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $253M to $17.0M
        Sep 13, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $253M to $17.0M
        Sep 13, 2021 to Mar 30, 2022
      • RAUM · $253M to $17.0M
        Sep 13, 2021 to Mar 30, 2022
      • HQ city · NEW YORK to PHILADELPHIA
        Mar 26, 2021 to Sep 13, 2021
      • HQ state · NY to PA
        Mar 26, 2021 to Sep 13, 2021
      • Discretionary RAUM · $402M to $253M
        Mar 30, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $402M to $253M
        Mar 30, 2020 to Mar 26, 2021
      • RAUM · $402M to $253M
        Mar 30, 2020 to Mar 26, 2021
      • Other offices · 2 to 0
        Feb 4, 2019 to Mar 30, 2020
      • Discretionary RAUM · $620M to $402M
        Feb 4, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $620M to $402M
        Feb 4, 2019 to Mar 30, 2020
      • RAUM · $620M to $402M
        Feb 4, 2019 to Mar 30, 2020
      • Discretionary RAUM · $500M to $620M
        Mar 28, 2018 to Feb 4, 2019
      • Pooled vehicle RAUM · $500M to $620M
        Mar 28, 2018 to Feb 4, 2019
      • RAUM · $500M to $620M
        Mar 28, 2018 to Feb 4, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 27, 2017 to Mar 28, 2018
      • Other offices · unset to 2.0
        Mar 27, 2017 to Mar 28, 2018
      • Discretionary RAUM · $212M to $500M
        Mar 27, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 500000000.0
        Mar 27, 2017 to Mar 28, 2018
      • RAUM · $212M to $500M
        Mar 27, 2017 to Mar 28, 2018
      • Accounts · 5 to 3
        Mar 15, 2016 to Jan 18, 2017
      • Advisory employees · 1 to 2
        Mar 15, 2016 to Jan 18, 2017
      • Assets in custody · 89926162.0 to unset
        Mar 15, 2016 to Jan 18, 2017
      • Custody of client assets · true to false
        Mar 15, 2016 to Jan 18, 2017
      • Private funds · 4 to 2
        Mar 15, 2016 to Jan 18, 2017
      • Discretionary RAUM · $128M to $212M
        Mar 15, 2016 to Jan 18, 2017
      • RAUM · $128M to $212M
        Mar 15, 2016 to Jan 18, 2017
      • Related adviser · false to true
        Mar 15, 2016 to Jan 18, 2017
      Signals
      5 dated events
      • ••• Locked
        Mar 30, 2022 · RAUM change · derived
      • ••• Locked
        Mar 26, 2021 · RAUM change · derived
      • ••• Locked
        Mar 30, 2020 · RAUM change · derived
      • ••• Locked
        Mar 28, 2018 · RAUM change · derived
      • ••• Locked
        Mar 15, 2016 · 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.
      How to reach
      public business contact points only, each with its source
      Website
      p•••••.amreportedpublic record, Form ADV, Mar 18, 2026
      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