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Former SEC-registered adviser

R••• P•••••• I••••••••• M••••••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 173549SEC 801-81124IAPD
Latest filing Apr 24, 2019
First filing on the tape Nov 3, 2014 · 18 filings
RAUM
$13B
reported, Item 5.F
Discretionary
5.1%
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
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$13B as of Mar 27, 2019
Mar 10, 2016$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 10, 20160 then
Employees (5.A)8 as of Mar 27, 2019
Mar 10, 20167 then
Private funds: 1
RAUM -30% over the last fiscal year+100% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 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
$4.2BderivedRAUM over accounts (5.F.2.f)
Discretionary
5.1%derivedof RAUM
Institutional
100%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 businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$13B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
3reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••• P•••••• I••••••••• M••••••••• C•••••• M••••••••• F••• L••no longer reportedHedge Fund$300M3Mar 10, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A•••••• S••• · Managing Directorcontrol
        since 01/2017 · owns less than 5%
      • C••••••••• C••••••••• J••• · Managing Directorcontrol
        since 05/2016 · owns less than 5%
      • G••••• T•••• A•••• · Managing Director; Head Of Quantitative Researchcontrol
        since 09/2015 · owns 5% to 10%
      • L••••• E•••••• C• · Managing Director, Chief Compliance Officer, Chief Operating Officercontrol
        since 07/2014 · owns 10% to 25%
      • N•••••••• M••••••• L•••••• · Chief Executive Officer & Chief Investment Officercontrol
        since 07/2014 · owns 25% to 50%
      • N•••••••• T•••••• K••• · Vice President, Portfolio Managercontrol
        since 07/2014 · owns less than 5%
      • R•••••• J••••• P•••••• · Owner
        since 09/2015 · owns 5% to 10%
      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
      • Accounts · 7 to 3
        Nov 7, 2018 to Mar 27, 2019
      • Advisory employees · 6 to 7
        Nov 7, 2018 to Mar 27, 2019
      • Charity clients · unset to 1.0
        Nov 7, 2018 to Mar 27, 2019
      • Employees · 9 to 8
        Nov 7, 2018 to Mar 27, 2019
      • Discretionary RAUM · $588M to $645M
        Nov 7, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $17B to $12B
        Nov 7, 2018 to Mar 27, 2019
      • Pension RAUM · 1979397000.0 to unset
        Nov 7, 2018 to Mar 27, 2019
      • RAUM · $18B to $13B
        Nov 7, 2018 to Mar 27, 2019
      • Accounts · 5 to 7
        Jun 15, 2017 to Mar 21, 2018
      • Employees · 8 to 9
        Jun 15, 2017 to Mar 21, 2018
      • Other offices · unset to 0.0
        Jun 15, 2017 to Mar 21, 2018
      • Discretionary RAUM · $591M to $588M
        Jun 15, 2017 to Mar 21, 2018
      • Non-discretionary RAUM · $13B to $17B
        Jun 15, 2017 to Mar 21, 2018
      • Pension RAUM · unset to 1979397000.0
        Jun 15, 2017 to Mar 21, 2018
      • RAUM · $14B to $18B
        Jun 15, 2017 to Mar 21, 2018
      • Accounts · 3 to 5
        Jan 25, 2017 to Mar 20, 2017
      • Advisory employees · 4 to 6
        Jan 25, 2017 to Mar 20, 2017
      • Advisory activities · 2 to 1
        Jan 25, 2017 to Mar 20, 2017
      • Employees · 7 to 8
        Jan 25, 2017 to Mar 20, 2017
      • Private funds · 1 to unset
        Jan 25, 2017 to Mar 20, 2017
      • Discretionary RAUM · $402M to $591M
        Jan 25, 2017 to Mar 20, 2017
      • Non-discretionary RAUM · $1.2B to $13B
        Jan 25, 2017 to Mar 20, 2017
      • RAUM · $1.6B to $14B
        Jan 25, 2017 to Mar 20, 2017
      • Accounts · 1 to 3
        Oct 2, 2015 to Mar 10, 2016
      • Advisory activities · 3 to 2
        Oct 2, 2015 to Mar 10, 2016
      • Private funds · unset to 1
        Oct 2, 2015 to Mar 10, 2016
      • Discretionary RAUM · $0 to $402M
        Oct 2, 2015 to Mar 10, 2016
      • Non-discretionary RAUM · $1.3B to $1.2B
        Oct 2, 2015 to Mar 10, 2016
      • RAUM · $1.3B to $1.6B
        Oct 2, 2015 to Mar 10, 2016
      • Related bank · false to true
        Oct 2, 2015 to Mar 10, 2016
      • Advisory employees · 3 to 4
        Sep 11, 2015 to Oct 2, 2015
      • Employees · 5 to 7
        Sep 11, 2015 to Oct 2, 2015
      • Accounts · unset to 1.0
        Jun 5, 2015 to Jul 17, 2015
      • Discretionary RAUM · unset to 0.0
        Jun 5, 2015 to Jul 17, 2015
      • Non-discretionary RAUM · unset to 1281623421.0
        Jun 5, 2015 to Jul 17, 2015
      • RAUM · unset to 1281623421.0
        Jun 5, 2015 to Jul 17, 2015
      Signals
      3 dated events
      • R••• P•••••• I••••••••• M••••••••• C•••••• L•• reported RAUM $12.6B, down 30% from $17.9B (2018-11-07 to 2019-03-27)
        Mar 27, 2019 · RAUM change · derived
      • R••• P•••••• I••••••••• M••••••••• C•••••• L•• reported RAUM $17.9B, up 29% from $13.9B (2017-06-15 to 2018-03-21)
        Mar 21, 2018 · RAUM change · derived
      • R••• P•••••• I••••••••• M••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Nov 3, 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