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Former SEC-registered adviser

C••••• C•••••• S•••

Former SEC-registered adviserS?O Paulo, CRD 226554SEC 801-111753IAPD
Latest filing Mar 31, 2023
First filing on the tape Aug 25, 2017 · 21 filings
RAUM
$727M
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
39
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$168M gross assets
History
21 filings and snapshots on the tape
RAUM$727M as of Mar 31, 2023
Mar 29, 2018$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 29, 20180 then
Employees (5.A)39 as of Mar 31, 2023
Mar 29, 201848 then
Private funds3 as of Mar 31, 2023
Mar 29, 20184 then
RAUM -47% over the last fiscal year-33% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
$40.4MderivedRAUM 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
-47%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
$226M, 3 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
  • 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)
  • 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
  • Pooled investment vehicles$487M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$226M for 3 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• D••••••••• C••••• F•••• L•Other Private Fund$130M38Aug 25, 2017
      B••••••• M••••• I• F•••• D• I••••••••• E• D••••••• C••••••••• N•• P•••••••••Hedge Fund$90.4M1Aug 25, 2017
      C••••• P• L••••• D••••••••• M••••• F•••• L•Hedge Fund$18.9M5Aug 25, 2017
      C••••• D••••••••• C••••• F••• I•• L•••Other Private Fund$18.3M14Mar 31, 2021
      E••••• M••••• F••• ••••••••• L••no longer reportedHedge Fund$15.7M2Aug 25, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• E••••••• F••••• D• A•••• · Chief Investment Officer Of Macro Strategycontrol
        since 08/2018 · owns 5% to 10%
      • F•••••• F••••••••• H••• · Chief Investment Officer Of Systematic Productscontrol
        since 03/2020 · owns 5% to 10%
      • G•••••••• G••••••••• M•••• · Executive Officercontrol
        since 03/2016 · owns 5% to 10%
      • N••••• R••••••• M•••••• · Credit Investment Officercontrol
        since 08/2022 · owns less than 5%
      • Q••••••••• A•••••• C••••• · Ceocontrol
        since 08/2022 · owns 10% to 25%
      • Q••••••••• A••••••• C••••• · Chief Executive Officercontrol
        since 01/2013 · owns 10% to 25%
      • R••••••• I••••••• S••••••• · Executive Officercontrol
        since 04/2022 · owns less than 5%
      • S•••••• A••••• S••••• · Chief Risk Officercontrol
        since 04/2022 · owns less than 5%
      • M•••••••• C•••••• D• F•••• L••• · Executive Officer
        since 11/2012 · owns less than 5%
      • V••••••••• R•••••••• B•••••• · Chief Compliance Officer, Internal Control Officer, Aml Officer, G•••••• Counsel
        since 11/2017 · owns less than 5%
      Entity owners
      • C••••• S••••• A•••• M••••••••• I••••••••• H•••••• L••• · Shareholder
        direct · owns 10% to 25%
      • C••••• S••••• A• · Shareholder
        indirect · owns 75% or more of C••••• S••••• A•••• M••••••••• I••••••••• H•••••• L••• · public reporting company
      Related persons
      Schedule D 7.A
      • C••••• D••••••••• C••••• F••• I• G•••••• P••••••• L•••
        investment adviserpooled vehicle sponsory
      • C••••• D••••••••• M••••• F••• G•••••• P••••••• L•••
        investment adviserpooled vehicle sponsory
      • C••••• P• L••••• M••••• F••• G•••••• P••••••• L•••
        investment adviserpooled vehicle sponsory
      • E••••• C•••••• I••••••••• L••••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 23 to 18
        Jun 21, 2022 to Mar 31, 2023
      • Advisory employees · 19 to 20
        Jun 21, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 22 to 17
        Jun 21, 2022 to Mar 31, 2023
      • Employees · 45 to 39
        Jun 21, 2022 to Mar 31, 2023
      • Other offices · 1 to 0
        Jun 21, 2022 to Mar 31, 2023
      • Discretionary RAUM · $1.2B to $727M
        Jun 21, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $121M to $0
        Jun 21, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $1.1B to $487M
        Jun 21, 2022 to Mar 31, 2023
      • RAUM · $1.4B to $727M
        Jun 21, 2022 to Mar 31, 2023
      • Private funds · 4 to 3
        Apr 28, 2022 to Jun 21, 2022
      • Accounts · 21 to 23
        Apr 30, 2021 to Mar 31, 2022
      • Advisory employees · 22 to 19
        Apr 30, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 20 to 22
        Apr 30, 2021 to Mar 31, 2022
      • Assets in custody · $228M to $226M
        Apr 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.0B to $1.2B
        Apr 30, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $218M to $121M
        Apr 30, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $2.0B to $1.1B
        Apr 30, 2021 to Mar 31, 2022
      • RAUM · $2.2B to $1.4B
        Apr 30, 2021 to Mar 31, 2022
      • Accounts · 18 to 21
        Apr 29, 2020 to Mar 31, 2021
      • Advisory employees · 23 to 22
        Apr 29, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 17 to 20
        Apr 29, 2020 to Mar 31, 2021
      • Assets in custody · $263M to $228M
        Apr 29, 2020 to Mar 31, 2021
      • Employees · 52 to 45
        Apr 29, 2020 to Mar 31, 2021
      • Private funds · 3 to 4
        Apr 29, 2020 to Mar 31, 2021
      • Discretionary RAUM · $2.3B to $2.0B
        Apr 29, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $173M to $218M
        Apr 29, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $2.3B to $2.0B
        Apr 29, 2020 to Mar 31, 2021
      • RAUM · $2.4B to $2.2B
        Apr 29, 2020 to Mar 31, 2021
      • Accounts · 16 to 18
        Aug 1, 2019 to Mar 31, 2020
      • Pooled vehicle clients · 15 to 17
        Aug 1, 2019 to Mar 31, 2020
      • Assets in custody · $258M to $263M
        Aug 1, 2019 to Mar 31, 2020
      • Discretionary RAUM · $1.1B to $2.3B
        Aug 1, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $174M to $173M
        Aug 1, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $1.2B to $2.3B
        Aug 1, 2019 to Mar 31, 2020
      • RAUM · $1.3B to $2.4B
        Aug 1, 2019 to Mar 31, 2020
      • Assets in custody · unset to 258497918.0
        Mar 29, 2019 to Apr 11, 2019
      • Custody of client assets · false to true
        Mar 29, 2019 to Apr 11, 2019
      • Accounts · 15 to 16
        Aug 16, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 14 to 15
        Aug 16, 2018 to Mar 29, 2019
      • Assets in custody · 1694974902.0 to unset
        Aug 16, 2018 to Mar 29, 2019
      Signals
      10 dated events
      • C••••• C•••••• S••• reported RAUM $727.2M, down 47% from $1.4B (2022-06-21 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • M•••••• R•••••• N•••• (Credit Investment Officer) appeared on Schedule A of C••••• C•••••• S•••
        Apr 28, 2022 · Control person joined · fact
      • S••••••• I•••••• R•••••• (Executive Officer) appeared on Schedule A of C••••• C•••••• S•••
        Apr 28, 2022 · Control person joined · fact
      • De Amorim Rafael Fritsch (Executive Officer) no longer on Schedule A of C••••• C•••••• S••• (listed 2022-03-31, absent 2022-04-14)
        Apr 14, 2022 · Control person left · inference
      • S••••• A•••• S••••• (Chief Risk Officer) appeared on Schedule A of C••••• C•••••• S•••
        Apr 14, 2022 · Control person joined · fact
      • C••••• C•••••• S••• reported RAUM $1.4B, down 37% from $2.2B (2021-04-30 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • C••••• C•••••• S••• reported RAUM $2.4B, up 86% from $1.3B (2019-08-01 to 2020-03-31)
        Mar 31, 2020 · RAUM change · derived
      • H••• F•••••••• F••••• (Chief Investment Officer Of Systematic Products) appeared on Schedule A of C••••• C•••••• S•••
        Mar 31, 2020 · Control person joined · fact
      • Fraiman Sergio Blatyta (Executive Officer) no longer on Schedule A of C••••• C•••••• S••• (listed 2019-04-12, absent 2019-08-01)
        Aug 1, 2019 · Control person left · inference
      • C••••• C•••••• S••• filed its initial SEC registration (Form ADV)
        Aug 25, 2017 · 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