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Former SEC-registered adviser

S••• P••• C•••••• P•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 273041SEC 801-110660IAPD
Latest filing Mar 23, 2018
First filing on the tape Jul 9, 2015 · 6 filings
RAUM
$195M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$195M gross assets
History
6 filings and snapshots on the tape
RAUM$195M as of Mar 23, 2018
Jul 9, 2015$4 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2018
Jul 9, 20150 then
Employees (5.A)7 as of Mar 23, 2018
Jul 9, 20156 then
Private funds1 as of Mar 23, 2018
Jul 9, 20152 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 2018; 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
$64.9MderivedRAUM 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
Custody
$195M, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$195M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$195M 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••• P••• C•••••• P••••••• M••••• F•••• L•Hedge Fund$195M62Jul 9, 2015
      S••• P••• C•••••• P••••••• D••••••• F•••• L•no longer reportedHedge Fund$19.0M14Jul 9, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• A•••• · Cco/Cfo/Coocontrol
        since 02/2018 · owns less than 5%
      • P•••••• J••••••• S••••••• · Managing Partnercontrol
        since 02/2015 · owns 75% or more
      • P•••••• J••••••• S••••••• · Ownercontrol
        since 02/2015 · owns 75% or more of S••• P••• C•••••• M••••••••• L••
      Entity owners
      • S••• P••• C•••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••• P••• C•••••• P••••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $195M to $195M
        Feb 27, 2018 to Mar 23, 2018
      • Employees · 9 to 7
        Feb 27, 2018 to Mar 23, 2018
      • Discretionary RAUM · $195M to $195M
        Feb 27, 2018 to Mar 23, 2018
      • Pooled vehicle RAUM · $195M to $195M
        Feb 27, 2018 to Mar 23, 2018
      • RAUM · $195M to $195M
        Feb 27, 2018 to Mar 23, 2018
      • Pooled vehicle clients · unset to 3.0
        Aug 30, 2017 to Feb 27, 2018
      • Other offices · unset to 0.0
        Aug 30, 2017 to Feb 27, 2018
      • Pooled vehicle RAUM · unset to 195440740.0
        Aug 30, 2017 to Feb 27, 2018
      • Private funds · 2 to 1
        May 18, 2017 to Aug 30, 2017
      • Advisory employees · 3 to 4
        Nov 12, 2015 to May 18, 2017
      • Assets in custody · unset to 195440740.0
        Nov 12, 2015 to May 18, 2017
      • Custody of client assets · false to true
        Nov 12, 2015 to May 18, 2017
      • Employees · 6 to 9
        Nov 12, 2015 to May 18, 2017
      • Discretionary RAUM · $4 to $195M
        Nov 12, 2015 to May 18, 2017
      • RAUM · $4 to $195M
        Nov 12, 2015 to May 18, 2017
      Signals
      1 dated events
      • S••• P••• C•••••• P•••••••• L• filed its initial SEC registration (Form ADV)
        Jul 9, 2015 · 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