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S•••• C•••••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private funds· Los Angeles, California

Former SEC-registered adviser, based in Los Angeles, California, reporting $83.7M of regulatory assets.

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

Last reported RAUM
$83.7M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+39%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 171909 · SEC 801-80061 · 7 filingsShow
CRD 171909SEC 801-80061First filing on the tape Jul 1, 2014, latest Sep 14, 2016IAPD
RAUM
$83.7M
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
$83.7M gross assets
History
7 filings and snapshots on the tape
RAUM$83.7M as of Mar 30, 2016
Mar 31, 2015$60.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 31, 20150 then
Employees (5.A)9 as of Mar 30, 2016
Mar 31, 20159 then
Private funds2 as of Mar 30, 2016
Mar 31, 20152 then
RAUM +39% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 2016; 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
$20.9MderivedRAUM 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
+39%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
$83.7M, 4 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$83.7M for 4 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• M••••• F•••• L•Hedge Fund$70.7M13Jul 1, 2014
      S•••• I••••••••• L•Hedge Fund$20.2M14Jan 27, 2023
      S•••• U••• G••••• E••••••• L••••••Hedge Fund$13.0M2Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• C••••••• M•••• · Chief Compliance Officercontrol
        since 07/2016 · owns less than 5%
      • G••••••• A•••••• G••• · Chief Financial Officercontrol
        since 01/2015 · owns less than 5%
      • N••••• H•••• · Membercontrol
        since 06/2014 · owns 75% or more
      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
      • Advisory employees · 5 to 2
        Mar 30, 2016 to Sep 14, 2016
      • Employees · 9 to 2
        Mar 30, 2016 to Sep 14, 2016
      • Accounts · 3 to 4
        Jul 1, 2015 to Mar 30, 2016
      • Assets in custody · $60.2M to $83.7M
        Jul 1, 2015 to Mar 30, 2016
      • Discretionary RAUM · $60.2M to $83.7M
        Jul 1, 2015 to Mar 30, 2016
      • RAUM · $60.2M to $83.7M
        Jul 1, 2015 to Mar 30, 2016
      • Accounts · 0 to 3
        Aug 11, 2014 to Mar 31, 2015
      • Business name · S•••• P•••••••• L•• to S•••• C•••••• P•••••••• L••
        Aug 11, 2014 to Mar 31, 2015
      • Assets in custody · $0 to $60.2M
        Aug 11, 2014 to Mar 31, 2015
      • Employees · 8 to 9
        Aug 11, 2014 to Mar 31, 2015
      • Private funds · 1 to 2
        Aug 11, 2014 to Mar 31, 2015
      • Discretionary RAUM · $0 to $60.2M
        Aug 11, 2014 to Mar 31, 2015
      • RAUM · $0 to $60.2M
        Aug 11, 2014 to Mar 31, 2015
      • Legal name · S•••• P•••••••• L•• to S•••• C•••••• P•••••••• L••
        Jul 1, 2014 to Aug 11, 2014
      Signals
      2 dated events
      • ••• Locked
        Jan 27, 2023 · ria registration change · fact
      • ••• Locked
        Jul 1, 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