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Former SEC-registered adviser

D•••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 221525SEC 801-106539IAPD
Latest filing May 23, 2017
First filing on the tape Aug 7, 2015 · 8 filings
RAUM
$30.7M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$31.4M gross assets
History
8 filings and snapshots on the tape
RAUM$30.7M as of Mar 28, 2017
Mar 23, 2016$118M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Mar 23, 20160 then
Employees (5.A)3 as of Mar 28, 2017
Mar 23, 20163 then
Private funds4 as of Mar 28, 2017
Mar 23, 20164 then
RAUM -74% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 23, 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
$5.1MderivedRAUM 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
-74%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 businesses and institutions, 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)
  • 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
6reported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••• P••••••• E•• V••••••••• L•Hedge Fund$20.9M10May 28, 2015
      D•••••• P••••••• O••••••• S••• L•• • E•• V••••••••• S••••••••• P•••••••••Hedge Fund$9.8M13May 28, 2015
      D•••••• P•••••••• L•Hedge Fund$647,23620May 28, 2015
      D•••••• P••••••• O••••••• S••• L•• • M••••••••• S••••••••• P•••••••••Hedge Fund$00Aug 7, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• M••••••• A•••••• · Managing Partner/Managing Member/Ceocontrol
        since 11/2014 · owns 25% to 50%
      • C••••••• J•••• P••• · Managing Partner/Managing Member/Ccocontrol
        since 11/2014 · owns 25% to 50%
      • K•••• J•••••• K• · Managing Partner/Managing Membercontrol
        since 11/2014 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • D•••••• C•••••• P•••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 6
        May 11, 2016 to Mar 28, 2017
      • Discretionary RAUM · $118M to $30.7M
        May 11, 2016 to Mar 28, 2017
      • RAUM · $118M to $30.7M
        May 11, 2016 to Mar 28, 2017
      • Accounts · 4 to 8
        Aug 19, 2015 to Mar 23, 2016
      • Discretionary RAUM · $77.0M to $118M
        Aug 19, 2015 to Mar 23, 2016
      • RAUM · $77.0M to $118M
        Aug 19, 2015 to Mar 23, 2016
      • Private funds · 8 to 4
        Aug 7, 2015 to Aug 18, 2015
      Signals
      1 dated events
      • D•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 7, 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