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Former SEC-registered adviser

C•••••••• C•••••• P•••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 242798SEC 801-107284IAPD
Latest filing Jun 10, 2016
First filing on the tape Feb 10, 2016 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 10, 2016
Feb 10, 20161 then
Employees (5.A)10 as of Jun 10, 2016
Feb 10, 201610 then
Private funds2 as of Jun 10, 2016
Feb 10, 20162 then
Practice profile
derived from the filing of Jun 10, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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 individuals, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • an independent public accountant performs a surprise examination (9.C.1)
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
n/areported
Financial planning clients
0reported
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
      C•••••••• H••••••••• E••••••• A••• P••••• F•••• L•Hedge Fund$25.1M1Feb 10, 2016
      C•••••••• H••••••••• E••••••• A••• P••••• F•••••• L•Hedge Fund$11.9M1May 3, 2017
      C•••••••• H••••••••• E••••••• A••• I••••••• F•••••• L•Private Equity Fund$00May 3, 2017
      C•••••••• H••••••••• E••••••• A••• I••••••• F•••• L•Private Equity Fund$00Feb 10, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• N••••••• M••••• · Manager Member - Chief Investment Officercontrol
        since 04/2015 · owns 25% to 50%
      • N••••• F•••• · Manager Member - Ceocontrol
        since 04/2015 · owns 25% to 50%
      • T••••••••• T••••••• · Manager Membercontrol
        since 04/2015 · owns 10% to 25%
      • A•••••••• C••••• M• · Chief Compliance Officer
        since 10/2015 · owns less than 5%
      • C••••• P•••••• K••• · Member - Coo & President
        since 04/2015 · owns 10% to 25%
      • M••••••••• E•••• J•••• · Chief Financial Officer
        since 04/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • C•••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 10, 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