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Former SEC-registered adviser

U••••• M••••••••• L••

Former SEC-registered adviserWoodbury, New YorkCRD 172889SEC 801-80469websiteIAPD
Latest filing Mar 28, 2019
First filing on the tape Oct 7, 2014 · 7 filings
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.3%
$3.6M 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
0
beyond the principal office
Private funds
2
$100M gross assets
History
7 filings and snapshots on the tape
RAUM$109M as of Mar 28, 2019
Mar 30, 2015$68.9M then
HNW client RAUM$3.6M as of Mar 28, 2019
Mar 27, 2018$3.0M then
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 30, 20150 then
Employees (5.A)2 as of Mar 28, 2019
Mar 30, 20152 then
Private funds2 as of Mar 28, 2019
Mar 30, 20152 then
RAUM +4.3% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
$1.2MderivedHNW RAUM over HNW clients
Average account
$18.2MderivedRAUM 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
+4.3%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$98.9M, 2 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$100M92%
  • Corporations and businesses$5.2M4.8%
  • High-net-worth individuals$3.6M3.3%
Individual clients
n/areported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$98.9M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      U••••• C•••••• P•••••••• L•••Hedge Fund$74.9M94Oct 7, 2014
      U••••• Y•••• F•••• L•Hedge Fund$22.4M44Oct 7, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••••• D•••••• J••• · Managing Member And Managing Partner Of U••••• M••••••••• & U••••• I••••••••control
        since 10/2005 · owns 75% or more
      • J••••••• R•••••• J••••• · Partner And Cco Of U••••• M••••••••• & U••••• I••••••••control
        since 10/2005 · owns less than 5%
      Related persons
      Schedule D 7.A
      • U••••• I••••••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $105M to $109M
        Mar 27, 2018 to Mar 28, 2019
      • HNW RAUM · $3.0M to $3.6M
        Mar 27, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $98.9M to $100M
        Mar 27, 2018 to Mar 28, 2019
      • RAUM · $105M to $109M
        Mar 27, 2018 to Mar 28, 2019
      • Accounts · 4 to 6
        Mar 28, 2017 to Mar 27, 2018
      • Corporate clients · unset to 1.0
        Mar 28, 2017 to Mar 27, 2018
      • HNW clients · unset to 3.0
        Mar 28, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 28, 2017 to Mar 27, 2018
      • Assets in custody · $92.4M to $98.9M
        Mar 28, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 27, 2018
      • Discretionary RAUM · $94.4M to $105M
        Mar 28, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 3050000.0
        Mar 28, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 98900000.0
        Mar 28, 2017 to Mar 27, 2018
      • RAUM · $94.4M to $105M
        Mar 28, 2017 to Mar 27, 2018
      • Accounts · 3 to 4
        Mar 30, 2016 to Mar 28, 2017
      • Assets in custody · $58.7M to $92.4M
        Mar 30, 2016 to Mar 28, 2017
      • Discretionary RAUM · $58.8M to $94.4M
        Mar 30, 2016 to Mar 28, 2017
      • RAUM · $58.8M to $94.4M
        Mar 30, 2016 to Mar 28, 2017
      • Accounts · 2 to 3
        Mar 30, 2015 to Mar 30, 2016
      • Advisory activities · 1 to 2
        Mar 30, 2015 to Mar 30, 2016
      • Assets in custody · $68.9M to $58.7M
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $68.9M to $58.8M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $68.9M to $58.8M
        Mar 30, 2015 to Mar 30, 2016
      • Assets in custody · $64.0M to $68.9M
        Oct 29, 2014 to Mar 30, 2015
      • Discretionary RAUM · $64.0M to $68.9M
        Oct 29, 2014 to Mar 30, 2015
      • RAUM · $64.0M to $68.9M
        Oct 29, 2014 to Mar 30, 2015
      Signals
      1 dated events
      • U••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 7, 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.
      How to reach
      public business contact points only, each with its source
      Website
      u•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      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