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Former SEC-registered adviser

A•••• H••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 171138SEC 801-79841IAPD
Latest filing May 2, 2019
First filing on the tape May 23, 2014 · 12 filings
RAUM
$286M
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$330M gross assets
History
12 filings and snapshots on the tape
RAUM$286M as of Mar 11, 2019
Mar 25, 2015$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2019
Mar 25, 20150 then
Employees (5.A)6 as of Mar 11, 2019
Mar 25, 20157 then
Private funds5 as of Mar 11, 2019
Mar 25, 20151 then
RAUM +30% over the last fiscal year+44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 2, 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
$35.7MderivedRAUM 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
+30%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, fixed fees, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$286M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      A•••• H••• M••••• F••• L•Hedge Fund$229M27May 23, 2014
      A•••• H••• C••• O••••••••• M••••• F••• L•Hedge Fund$54.9M7Sep 28, 2017
      A•••• H••• S•• 2• L•Hedge Fund$28.0M1Mar 30, 2017
      A•••• H••• S•• 3• L•Hedge Fund$12.1M1Mar 30, 2017
      A•••• H••• S•• 1• L•Hedge Fund$6.1M1Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • Y••• E•••• M• · Limited Partnercontrol
        since 02/2014 · owns 50% to 75%
      • Y••• E•••• M• · Managing Membercontrol
        since 02/2014 · owns 75% or more of A•••• H••• M••••••••• G• L••
      • V••••• K••••••• M•••• · Chief Compliance Officer
        since 03/2019 · owns less than 5%
      Entity owners
      • A•••• H••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••• H••• C••• G• L••
        bankpooled vehicle sponsorn
      • A•••• H••• G• L••
        pooled vehicle sponsorn
      • A•••• H••• S•• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $220M to $286M
        Mar 21, 2018 to Mar 11, 2019
      • Pooled vehicle RAUM · $220M to $286M
        Mar 21, 2018 to Mar 11, 2019
      • RAUM · $220M to $286M
        Mar 21, 2018 to Mar 11, 2019
      • Pooled vehicle clients · unset to 8.0
        Sep 28, 2017 to Mar 20, 2018
      • Other offices · unset to 0.0
        Sep 28, 2017 to Mar 20, 2018
      • Discretionary RAUM · $212M to $220M
        Sep 28, 2017 to Mar 20, 2018
      • Pooled vehicle RAUM · unset to 219643931.0
        Sep 28, 2017 to Mar 20, 2018
      • RAUM · $212M to $220M
        Sep 28, 2017 to Mar 20, 2018
      • Accounts · 7 to 8
        Mar 30, 2017 to Sep 28, 2017
      • Employees · 7 to 6
        Mar 30, 2017 to Sep 28, 2017
      • Private funds · 4 to 5
        Mar 30, 2017 to Sep 28, 2017
      • Discretionary RAUM · $129M to $212M
        Mar 30, 2017 to Sep 28, 2017
      • RAUM · $129M to $212M
        Mar 30, 2017 to Sep 28, 2017
      • Related bank · false to true
        Mar 30, 2017 to Sep 28, 2017
      • Accounts · 4 to 7
        Mar 28, 2016 to Mar 30, 2017
      • Private funds · 1 to 4
        Mar 28, 2016 to Mar 30, 2017
      • Discretionary RAUM · $95.9M to $129M
        Mar 28, 2016 to Mar 30, 2017
      • RAUM · $95.9M to $129M
        Mar 28, 2016 to Mar 30, 2017
      • Accounts · 2 to 4
        Mar 25, 2015 to Mar 28, 2016
      • Advisory employees · 5 to 4
        Mar 25, 2015 to Mar 28, 2016
      • Discretionary RAUM · $102M to $95.9M
        Mar 25, 2015 to Mar 28, 2016
      • RAUM · $102M to $95.9M
        Mar 25, 2015 to Mar 28, 2016
      • Accounts · 1 to 2
        Oct 1, 2014 to Mar 25, 2015
      • Advisory employees · 2 to 5
        Oct 1, 2014 to Mar 25, 2015
      • Employees · 4 to 7
        Oct 1, 2014 to Mar 25, 2015
      • Discretionary RAUM · $97.0M to $102M
        Oct 1, 2014 to Mar 25, 2015
      • RAUM · $97.0M to $102M
        Oct 1, 2014 to Mar 25, 2015
      • Accounts · 0 to 1
        May 28, 2014 to Oct 1, 2014
      • Discretionary RAUM · $0 to $97.0M
        May 28, 2014 to Oct 1, 2014
      • RAUM · $0 to $97.0M
        May 28, 2014 to Oct 1, 2014
      Signals
      1 dated events
      • A•••• H••• M••••••••• L• filed its initial SEC registration (Form ADV)
        May 23, 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