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Former SEC-registered adviser

C••••• R•••• I••••••••• M••••••••• L•

Former SEC-registered adviserGreenwich, ConnecticutCRD 175498SEC 801-81184IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 18, 2015 · 8 filings
RAUM
$351M
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$351M gross assets
History
8 filings and snapshots on the tape
RAUM$351M as of Mar 29, 2017
Mar 4, 2016$320M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 4, 20160 then
Employees (5.A)7 as of Mar 29, 2017
Mar 4, 20167 then
Private funds1 as of Mar 29, 2017
Mar 4, 20161 then
RAUM +9.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; 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
$87.8MderivedRAUM 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
+9.7%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
$351M, 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
  • 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)
  • 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
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
0reported
Wrap fee programs
noreported
Custody of client assets
$351M 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• R•••• R••• E••••• M••••• F••• L•Hedge Fund$351M29Jul 21, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • J••••••• D•••••• J••• · Chief Financial Officer, Chief Compliance Officercontrol
        since 02/2016 · owns less than 5%
      • S•••••• M••••••• J•• · Founder, Chief Investment Officercontrol
        since 03/2015 · owns 50% to 75%
      • H•••• C••••• A•••• · Senior Managing Membercontrol
        since 08/1998 · owns 25% to 50% of R•••• L••
      • S••••• D•••••• H••••••• · Senior Managing Membercontrol
        since 08/1998 · owns 25% to 50% of R•••• L••
      • S••••••••• B••••• S••••• · Membercontrol
        since 02/2015 · owns 75% or more of S•• S••••••••• H•••••••• L•••••
      • S•••••• M••••••• J•• · Managing Membercontrol
        since 03/2015 · owns 50% to 75% of C••••• R•••• I••••••••• M••••••••• G• L••
      Entity owners
      • C••••• R•••• I••••••••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      • R•••• L•• · Managing Member
        indirect · owns F of R•••••••• C•••••• G••••• L•••••
      • R•••••••• C•••••• G••••• L••••• · Managing Member
        indirect · owns F of R•••••••• S•••••••• P••••••• F••• G•• L••
      • R•••••••• S•••••••• P••••••• F••• G•• L•• · General Partner
        indirect · owns F of R•••••••• S•••••••• P••••••• F•••• L•••
      • R•••••••• S•••••••• P••••••• F•••• L••• · Limited Partner
        direct · owns 10% to 25%
      • S•• S••••••••• H•••••••• L••••• · Limited Partner
        direct · owns 10% to 25%
      • T•••••• R••••••••• S••••• O• T•••• · Limited Partner
        indirect · owns 25% to 50% of R•••••••• S•••••••• P••••••• F•••• L•••
      Related persons
      Schedule D 7.A
      • C••••• R•••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Mar 4, 2016 to Mar 29, 2017
      • Assets in custody · $305M to $351M
        Mar 4, 2016 to Mar 29, 2017
      • Discretionary RAUM · $320M to $351M
        Mar 4, 2016 to Mar 29, 2017
      • RAUM · $320M to $351M
        Mar 4, 2016 to Mar 29, 2017
      • Advisory employees · 6 to 4
        Dec 15, 2015 to Mar 4, 2016
      • Assets in custody · $368M to $305M
        Dec 15, 2015 to Mar 4, 2016
      • Employees · 10 to 7
        Dec 15, 2015 to Mar 4, 2016
      • Discretionary RAUM · $390M to $320M
        Dec 15, 2015 to Mar 4, 2016
      • RAUM · $390M to $320M
        Dec 15, 2015 to Mar 4, 2016
      • Accounts · unset to 5.0
        Apr 8, 2015 to Jul 21, 2015
      • Advisory employees · 0 to 6
        Apr 8, 2015 to Jul 21, 2015
      • Advisory activities · 2 to 1
        Apr 8, 2015 to Jul 21, 2015
      • Assets in custody · unset to 368487520.0
        Apr 8, 2015 to Jul 21, 2015
      • Custody of client assets · false to true
        Apr 8, 2015 to Jul 21, 2015
      • Employees · 0 to 10
        Apr 8, 2015 to Jul 21, 2015
      • Private funds · unset to 1
        Apr 8, 2015 to Jul 21, 2015
      • Discretionary RAUM · unset to 389773173.0
        Apr 8, 2015 to Jul 21, 2015
      • Non-discretionary RAUM · unset to 0.0
        Apr 8, 2015 to Jul 21, 2015
      • RAUM · unset to 389773173.0
        Apr 8, 2015 to Jul 21, 2015
      Signals
      1 dated events
      • C••••• R•••• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Mar 18, 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