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Former SEC-registered adviserFormer SEC adviser· Grand Cayman

Former SEC-registered adviser, based in Grand Cayman, reporting $647M of regulatory assets.

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

As of 2017-10-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $647M
RAUM change, 1 year: +1345%
Private clients: 22%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2017-10-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 3 Oct 2017, RAUM $44.8M to $647M (+1344.5%) on the Form ADV filed 3 Oct 2017.

Every filed figure, and the identifiersCRD 170883 · SEC 801-79863 · 7 filingsShow

CRD 170883SEC 801-79863First filing on the tape May 28, 2014, latest Oct 3, 2017IAPD

RAUM

$647M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

22%

$141M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM +161% a year over three years · the tape starts May 28, 2014

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$647M as of Oct 3, 2017

Sep 29, 2014$36.5M then

HNW client RAUM: $139M

State-registered IARs (5.B.3)0 as of Oct 3, 2017

Sep 29, 20140 then

Employees (5.A)7 as of Oct 3, 2017

Sep 29, 20147 then

Private funds: no history

RAUM +1345% over the last fiscal year+161% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Oct 3, 2017; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $5.6MderivedHNW RAUM over HNW clients
Average account: $9.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +1345%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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody: $173M, 44 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

is a trust company (6.A.8)
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)
the adviser acts as qualified custodian (9.D.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

77% corporations and businesses, 23% high-net-worth individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

Corporations and businesses$473M77%
High-net-worth individuals$139M23%
Individuals$2.2M0.4%

Individual clients: 16reported
HNW clients: 25reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 69reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $173M for 44 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• W••••••• E•••• · Directorcontrol
since 01/2014 · owns less than 5%
H•••••• M••••••• J••• B•••• · Managing Directorcontrol
since 01/2014 · owns less than 5%
H••••••••• S•••• R••••• · Chief Compliance Officer / Money Laundering Reporting Officercontrol
since 01/2014 · owns less than 5%
N••••••• A•••••• D•••• · Deputy Managing Deirectorcontrol
since 01/2014 · owns less than 5%
R••••••••• R•••••• · Directorcontrol
since 01/2014 · owns less than 5%

All 6 control persons

S•••••••• D••••• · Directorcontrol
since 01/2014 · owns less than 5%

Entity owners

S••••••••• H••••••• L•••••• · Member
direct · owns 75% or more
I•• B••• A•• T•••• C•••••• L••• · Trustee
indirect · owns F of V••••••• P••• C••••••••• T••••
V••••••• P••• C••••••••• T•••• · Sole Owner
indirect · owns 75% or more of S••••••••• H••••••• L••••••

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 · 10 to 69
Sep 28, 2016 to Oct 3, 2017
Advisory employees · 3 to 5
Sep 28, 2016 to Oct 3, 2017
Corporate clients · unset to 25.0
Sep 28, 2016 to Oct 3, 2017
HNW clients · unset to 25.0
Sep 28, 2016 to Oct 3, 2017
Individual clients · unset to 16.0
Sep 28, 2016 to Oct 3, 2017

Full history · 26 changes

Assets in custody · $44.8M to $173M
Sep 28, 2016 to Oct 3, 2017
Other offices · unset to 1.0
Sep 28, 2016 to Oct 3, 2017
HNW RAUM · unset to 139161767.0
Sep 28, 2016 to Oct 3, 2017
Individual RAUM · unset to 2240687.0
Sep 28, 2016 to Oct 3, 2017
Non-discretionary RAUM · $44.8M to $647M
Sep 28, 2016 to Oct 3, 2017
RAUM · $44.8M to $647M
Sep 28, 2016 to Oct 3, 2017
Accounts · 3 to 10
Sep 30, 2015 to Sep 26, 2016
Assets in custody · $50.1M to $44.8M
Sep 30, 2015 to Sep 26, 2016
Non-discretionary RAUM · $50.1M to $44.8M
Sep 30, 2015 to Sep 26, 2016
RAUM · $50.1M to $44.8M
Sep 30, 2015 to Sep 26, 2016
Accounts · 2 to 3
Oct 13, 2014 to Sep 30, 2015
Assets in custody · $36.5M to $50.1M
Oct 13, 2014 to Sep 30, 2015
Discretionary RAUM · $17.0M to $0
Oct 13, 2014 to Sep 30, 2015
Non-discretionary RAUM · $19.5M to $50.1M
Oct 13, 2014 to Sep 30, 2015
RAUM · $36.5M to $50.1M
Oct 13, 2014 to Sep 30, 2015
Accounts · 1 to 2
May 28, 2014 to Sep 29, 2014
Advisory activities · 2 to 3
May 28, 2014 to Sep 29, 2014
Assets in custody · $80.0M to $36.5M
May 28, 2014 to Sep 29, 2014
Discretionary RAUM · $80.0M to $17.0M
May 28, 2014 to Sep 29, 2014
Non-discretionary RAUM · $0 to $19.5M
May 28, 2014 to Sep 29, 2014
RAUM · $80.0M to $36.5M
May 28, 2014 to Sep 29, 2014

Signals

1 dated events

••• Locked
May 28, 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026