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Former SEC-registered adviser

E•••••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 174387SEC 801-108005IAPD
Latest filing Mar 20, 2019
First filing on the tape Jun 15, 2016 · 6 filings
RAUM
$252M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$253M gross assets
History
6 filings and snapshots on the tape
RAUM$252M as of Mar 20, 2019
Mar 30, 2017$169M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2019
Mar 30, 20170 then
Employees (5.A)4 as of Mar 20, 2019
Mar 30, 20177 then
Private funds2 as of Mar 20, 2019
Mar 30, 20172 then
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
$126MderivedRAUM 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
+0.0%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$252M, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$252M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$252M for 2 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••••• C•••••• P••••••• L•••Other Private Fund$242M23Mar 5, 2015
      E•••••••• I••••••••• V•••••• I• L•••Private Equity Fund$10.8M3Mar 18, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• J••••• A•••• · Member, Partner, Presidentcontrol
        since 01/2015 · owns 50% to 75%
      • Z•••••• M••••••• S••• · Passive Ownershipcontrol
        since 01/2015 · owns 50% to 75%
      • A••••••••• A•••••••• S•••• · Chief Compliance Officer
        since 10/2016 · owns less than 5%
      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
        Sep 21, 2018 to Mar 20, 2019
      • BD registered reps · 4 to 1
        Sep 21, 2018 to Mar 20, 2019
      • Employees · 7 to 4
        Sep 21, 2018 to Mar 20, 2019
      • Advisory activities · 1 to 2
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 30, 2017 to Mar 30, 2018
      • Assets in custody · $169M to $252M
        Mar 30, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Discretionary RAUM · $169M to $252M
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 252455000.0
        Mar 30, 2017 to Mar 30, 2018
      • RAUM · $169M to $252M
        Mar 30, 2017 to Mar 30, 2018
      • Assets in custody · $151M to $169M
        Oct 17, 2016 to Mar 30, 2017
      • Employees · 5 to 7
        Oct 17, 2016 to Mar 30, 2017
      • Discretionary RAUM · $151M to $169M
        Oct 17, 2016 to Mar 30, 2017
      • RAUM · $151M to $169M
        Oct 17, 2016 to Mar 30, 2017
      • Private funds · 4 to 2
        Jun 15, 2016 to Oct 17, 2016
      Signals
      1 dated events
      • E•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 15, 2016 · 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