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Former SEC-registered adviser

A•••••• C•••••• P••••••• L••

Former SEC-registered adviserLondon, CRD 269883SEC 801-101508IAPD
Latest filing Jun 8, 2023
First filing on the tape Jul 10, 2015 · 13 filings
RAUM
$202M
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
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$107M gross assets
History
13 filings and snapshots on the tape
RAUM$202M as of Jun 6, 2023
Apr 14, 2016$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 6, 2023
Apr 14, 20160 then
Employees (5.A)6 as of Jun 6, 2023
Apr 14, 20168 then
Private funds1 as of Jun 6, 2023
Apr 14, 20161 then
RAUM -59% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 8, 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
$50.6MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-59%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, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$202M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• L••••••••• E••••• M••••• F••• L••Hedge Fund$107M19Jul 10, 2015
      A•••••• C••••••• 1• L••no longer reportedHedge Fund$31.7M8Jun 6, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • D• B•••• V••••••• B•••• · L•••••• Partnercontrol
        since 09/2015 · owns 5% to 10%
      • M•••••• F••••••• N•••••• · L•••••• Partnercontrol
        since 06/2015 · owns 5% to 10%
      • P•••••••• L••••• P•••••• · Chief Compliance Officer / L•••••• Partnercontrol
        since 05/2015 · owns 5% to 10%
      • S•••••••• C•••• · L•••••• Partnercontrol
        since 06/2015 · owns 5% to 10%
      • V••••••• A••••• · L•••••• Partnercontrol
        since 12/2014 · owns 50% to 75%
      • V••••••• A•••••••• · L•••••• Partner
        since 12/2014 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • A•••••• C•••••• ••• L••••••
        pooled vehicle sponsory
      • A•••••• C•••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Gibraltar, Gibraltar2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Apr 25, 2022 to Jun 6, 2023
      • Advisory employees · 5 to 3
        Apr 25, 2022 to Jun 6, 2023
      • Pooled vehicle clients · 5 to 4
        Apr 25, 2022 to Jun 6, 2023
      • Employees · 10 to 6
        Apr 25, 2022 to Jun 6, 2023
      • Discretionary RAUM · $496M to $202M
        Apr 25, 2022 to Jun 6, 2023
      • Pooled vehicle RAUM · $496M to $202M
        Apr 25, 2022 to Jun 6, 2023
      • RAUM · $496M to $202M
        Apr 25, 2022 to Jun 6, 2023
      • Pooled vehicle clients · 4 to 5
        Jun 2, 2021 to Apr 25, 2022
      • Discretionary RAUM · $1.2B to $496M
        Jun 2, 2021 to Apr 25, 2022
      • Pooled vehicle RAUM · $1.2B to $496M
        Jun 2, 2021 to Apr 25, 2022
      • RAUM · $1.2B to $496M
        Jun 2, 2021 to Apr 25, 2022
      • Advisory employees · 6 to 5
        Apr 27, 2020 to Jun 2, 2021
      • Pooled vehicle clients · 5 to 4
        Apr 27, 2020 to Jun 2, 2021
      • Employees · 11 to 10
        Apr 27, 2020 to Jun 2, 2021
      • Discretionary RAUM · $1.2B to $1.2B
        Apr 27, 2020 to Jun 2, 2021
      • Pooled vehicle RAUM · $1.2B to $1.2B
        Apr 27, 2020 to Jun 2, 2021
      • RAUM · $1.2B to $1.2B
        Apr 27, 2020 to Jun 2, 2021
      • Accounts · 6 to 5
        Jun 6, 2019 to Apr 27, 2020
      • Pooled vehicle clients · 6 to 5
        Jun 6, 2019 to Apr 27, 2020
      • Employees · 10 to 11
        Jun 6, 2019 to Apr 27, 2020
      • Private funds · 2 to 1
        Jun 6, 2019 to Apr 27, 2020
      • Discretionary RAUM · $1.2B to $1.2B
        Jun 6, 2019 to Apr 27, 2020
      • Pooled vehicle RAUM · $1.2B to $1.2B
        Jun 6, 2019 to Apr 27, 2020
      • RAUM · $1.2B to $1.2B
        Jun 6, 2019 to Apr 27, 2020
      • Accounts · 4 to 6
        May 4, 2018 to Jun 6, 2019
      • Pooled vehicle clients · 4 to 6
        May 4, 2018 to Jun 6, 2019
      • Private funds · 1 to 2
        May 4, 2018 to Jun 6, 2019
      • Discretionary RAUM · $1.4B to $1.2B
        May 4, 2018 to Jun 6, 2019
      • Pooled vehicle RAUM · $1.4B to $1.2B
        May 4, 2018 to Jun 6, 2019
      • RAUM · $1.4B to $1.2B
        May 4, 2018 to Jun 6, 2019
      • Accounts · 3 to 4
        Sep 7, 2017 to May 4, 2018
      • Pooled vehicle clients · unset to 4.0
        Sep 7, 2017 to May 4, 2018
      • Other offices · unset to 1.0
        Sep 7, 2017 to May 4, 2018
      • Discretionary RAUM · $690M to $1.4B
        Sep 7, 2017 to May 4, 2018
      • Pooled vehicle RAUM · unset to 1359362817.0
        Sep 7, 2017 to May 4, 2018
      • RAUM · $690M to $1.4B
        Sep 7, 2017 to May 4, 2018
      • Accounts · unset to 3.0
        May 2, 2017 to Sep 7, 2017
      • Discretionary RAUM · unset to 689520623.0
        May 2, 2017 to Sep 7, 2017
      • Non-discretionary RAUM · unset to 0.0
        May 2, 2017 to Sep 7, 2017
      • RAUM · unset to 689520623.0
        May 2, 2017 to Sep 7, 2017
      Signals
      4 dated events
      • ••• Locked
        Jun 6, 2023 · RAUM change · derived
      • ••• Locked
        Apr 25, 2022 · RAUM change · derived
      • ••• Locked
        May 4, 2018 · RAUM change · derived
      • ••• Locked
        Jul 10, 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