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Former SEC-registered adviser

M••••••• F••• M••••••••• L••

Former SEC-registered adviserCharlottesville, VirginiaCRD 171710SEC 801-117016IAPD
Latest filing Mar 25, 2021
First filing on the tape Jun 5, 2014 · 13 filings
RAUM
$203M
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$203M gross assets
History
13 filings and snapshots on the tape
RAUM$203M as of Mar 25, 2021
Mar 31, 2015$813M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2021
Mar 31, 20150 then
Employees (5.A)2 as of Mar 25, 2021
Mar 31, 20155 then
Private funds1 as of Mar 25, 2021
Mar 31, 20153 then
RAUM -49% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2021; 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
$203MderivedRAUM 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
-49%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
$203M, 1 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • Pooled investment vehicles$203M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$203M for 1 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••• M••••• F••• L•no longer reportedHedge Fund$904M67Oct 7, 2013
      M••••••• F••• L•no longer reportedHedge Fund$465M61Oct 7, 2013
      M••••••• F••• L•••no longer reportedHedge Fund$459M32Oct 7, 2013
      M••••••• O••••••••• F••• L•Venture Capital Fund$15.3M59Feb 1, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• K•••••••• E•••• · Chief Compliance Officer And Director Of Investor Relations & Operationscontrol
        since 08/2014 · owns less than 5%
      • S••••••••• W••••••• R••• · Managing Membercontrol
        since 07/2013 · owns 75% or more
      Related persons
      Schedule D 7.A
      • M••••••• F••• P••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $402M to $203M
        Mar 5, 2020 to Mar 25, 2021
      • Discretionary RAUM · $402M to $203M
        Mar 5, 2020 to Mar 25, 2021
      • Pooled vehicle RAUM · $402M to $203M
        Mar 5, 2020 to Mar 25, 2021
      • RAUM · $402M to $203M
        Mar 5, 2020 to Mar 25, 2021
      • Assets in custody · $952M to $402M
        Jun 24, 2019 to Mar 5, 2020
      • Private funds · 2 to 1
        Jun 24, 2019 to Mar 5, 2020
      • Discretionary RAUM · $952M to $402M
        Jun 24, 2019 to Mar 5, 2020
      • Pooled vehicle RAUM · $952M to $402M
        Jun 24, 2019 to Mar 5, 2020
      • RAUM · $952M to $402M
        Jun 24, 2019 to Mar 5, 2020
      • Accounts · 3 to 1
        Mar 29, 2017 to Jun 24, 2019
      • Advisory employees · 4 to 1
        Mar 29, 2017 to Jun 24, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 29, 2017 to Jun 24, 2019
      • Assets in custody · $904M to $952M
        Mar 29, 2017 to Jun 24, 2019
      • Employees · 5 to 2
        Mar 29, 2017 to Jun 24, 2019
      • HQ city · NEW YORK to CHARLOTTESVILLE
        Mar 29, 2017 to Jun 24, 2019
      • HQ state · NY to VA
        Mar 29, 2017 to Jun 24, 2019
      • Other offices · unset to 0.0
        Mar 29, 2017 to Jun 24, 2019
      • Private funds · 1 to 2
        Mar 29, 2017 to Jun 24, 2019
      • Discretionary RAUM · $904M to $952M
        Mar 29, 2017 to Jun 24, 2019
      • Pooled vehicle RAUM · unset to 952491849.0
        Mar 29, 2017 to Jun 24, 2019
      • RAUM · $904M to $952M
        Mar 29, 2017 to Jun 24, 2019
      • Related bank · true to false
        Mar 29, 2017 to Jun 24, 2019
      • Advisory employees · 5 to 4
        Jun 21, 2016 to Mar 29, 2017
      • Assets in custody · $1.2B to $904M
        Jun 21, 2016 to Mar 29, 2017
      • Employees · 6 to 5
        Jun 21, 2016 to Mar 29, 2017
      • Private funds · 3 to 1
        Jun 21, 2016 to Mar 29, 2017
      • Discretionary RAUM · $1.2B to $904M
        Jun 21, 2016 to Mar 29, 2017
      • RAUM · $1.2B to $904M
        Jun 21, 2016 to Mar 29, 2017
      • Accounts · 1 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 5
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $606M to $1.2B
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 5 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $813M to $1.2B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $813M to $1.2B
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 3 to 4
        Aug 15, 2014 to Mar 31, 2015
      • Assets in custody · $421M to $606M
        Aug 15, 2014 to Mar 31, 2015
      • Employees · 4 to 5
        Aug 15, 2014 to Mar 31, 2015
      • Discretionary RAUM · $527M to $813M
        Aug 15, 2014 to Mar 31, 2015
      • RAUM · $527M to $813M
        Aug 15, 2014 to Mar 31, 2015
      • Related adviser · true to false
        Jun 5, 2014 to Aug 15, 2014
      Signals
      4 dated events
      • M••••••• F••• M••••••••• L•• reported RAUM $203.4M, down 49% from $402.0M (2020-03-05 to 2021-03-25)
        Mar 25, 2021 · RAUM change · derived
      • Walter Dwight Anderson (Sole Shareholder) no longer on Schedule A of M••••••• F••• M••••••••• L•• (listed 2020-03-05, absent 2021-03-25)
        Mar 25, 2021 · Control person left · inference
      • M••••••• F••• M••••••••• L•• reported RAUM $402.0M, down 58% from $952.5M (2019-06-24 to 2020-03-05)
        Mar 5, 2020 · RAUM change · derived
      • M••••••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 5, 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