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RIA Intelligence

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Former SEC-registered adviser

A•••• C•••••• L•

Former SEC-registered adviserNew York, New YorkCRD 172566SEC 801-106627IAPD

Latest filing Mar 29, 2018

First filing on the tape Aug 31, 2015 · 6 filings

RAUM

$27.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

27%

$7.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$20.1M gross assets

History

6 filings and snapshots on the tape

RAUM$27.5M as of Mar 29, 2018

Mar 29, 2016$25.4M then

HNW client RAUM: $7.4M

State-registered IARs (5.B.3)0 as of Mar 29, 2018

Mar 29, 20160 then

Employees (5.A)4 as of Mar 29, 2018

Mar 29, 20164 then

Private funds1 as of Mar 29, 2018

Mar 29, 20161 then

RAUM +5.2% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 29, 2018; 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: $7.4MderivedHNW RAUM over HNW clients
Average account: $13.8MderivedRAUM 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: +5.2%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, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $27.5M, 2 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$20.1M73%
High-net-worth individuals$7.4M27%

Individual clients: n/areported
HNW clients: 1reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $27.5M for 2 clientsreported
Compensation: % of AUMreported
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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A•••• I••••••••• P•••••••• L•	Hedge Fund	$20.1M	17	Aug 31, 2015

Owners and control persons

Schedule A and B, latest filing

L••••••••• D••••• A••• · Chief Compliance Officer And Limited Partner Of A•••• C•••••• L•control
since 08/2014 · owns 75% or more
L••••••••• D••••• A••• · Presidentcontrol
since 08/2014 · owns 75% or more of A•••• C•••••• C••••

Entity owners

A•••• C•••••• C•••• · General Partner Of A•••• C•••••• L•
direct · owns less than 5%

Related persons

Schedule D 7.A

A•••• I••••••••• P••••••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory activities · 1 to 2
Jun 29, 2017 to Mar 29, 2018
HNW clients · unset to 1.0
Jun 29, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 1.0
Jun 29, 2017 to Mar 29, 2018
Assets in custody · $26.2M to $27.5M
Jun 29, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Jun 29, 2017 to Mar 29, 2018
Discretionary RAUM · $26.2M to $27.5M
Jun 29, 2017 to Mar 29, 2018
HNW RAUM · unset to 7389341.0
Jun 29, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 20127125.0
Jun 29, 2017 to Mar 29, 2018
RAUM · $26.2M to $27.5M
Jun 29, 2017 to Mar 29, 2018
Related adviser · true to false
Jun 29, 2017 to Mar 29, 2018
Assets in custody · $0 to $26.2M
Mar 30, 2017 to Jun 29, 2017
Custody of client assets · false to true
Mar 30, 2017 to Jun 29, 2017
Advisory employees · 4 to 3
Mar 29, 2016 to Mar 30, 2017
Discretionary RAUM · $25.4M to $26.2M
Mar 29, 2016 to Mar 30, 2017
RAUM · $25.4M to $26.2M
Mar 29, 2016 to Mar 30, 2017
Assets in custody · unset to 0.0
Oct 8, 2015 to Mar 29, 2016
Discretionary RAUM · $26.1M to $25.4M
Oct 8, 2015 to Mar 29, 2016
RAUM · $26.1M to $25.4M
Oct 8, 2015 to Mar 29, 2016

Signals

1 dated events

A•••• C•••••• L• filed its initial SEC registration (Form ADV)
Aug 31, 2015 · 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