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Former SEC-registered adviser

M••••••••• G••••• A•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 179530SEC 801-94172IAPD
Latest filing Jul 5, 2016
First filing on the tape Apr 13, 2015 · 5 filings
RAUM
$32.9M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$2.0M gross assets
History
5 filings and snapshots on the tape
RAUM$32.9M as of Jul 5, 2016
Apr 13, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 5, 2016
Apr 13, 20150 then
Employees (5.A)1 as of Jul 5, 2016
Apr 13, 20154 then
Private funds1 as of Jul 5, 2016
Apr 13, 20151 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 5, 2016; 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
$8.2MderivedRAUM 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
unknownderivedbetween 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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      M••••••••• H••••••••• M••••• F•••• L•••Hedge Fund$2.0M1Apr 13, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• R••• K••••• · Chief Compliance Officer And Managing Member Of The Firm'S General Partnercontrol
        since 11/2014 · owns 75% or more
      Entity owners
      • M••••••••• G••••• A••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • M••••••••• H••••••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 4
        Feb 1, 2016 to Mar 21, 2016
      • Advisory employees · 4 to 1
        Feb 1, 2016 to Mar 21, 2016
      • Employees · 4 to 1
        Feb 1, 2016 to Mar 21, 2016
      • Discretionary RAUM · $45.2M to $32.9M
        Feb 1, 2016 to Mar 21, 2016
      • RAUM · $45.2M to $32.9M
        Feb 1, 2016 to Mar 21, 2016
      • Accounts · 0 to 2
        Apr 13, 2015 to Jun 19, 2015
      • Discretionary RAUM · $0 to $45.2M
        Apr 13, 2015 to Jun 19, 2015
      • RAUM · $0 to $45.2M
        Apr 13, 2015 to Jun 19, 2015
      Signals
      1 dated events
      • M••••••••• G••••• A•••••••• L• filed its initial SEC registration (Form ADV)
        Apr 13, 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