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Former SEC-registered adviser

S••••• R•••• A•••• M••••••••• U• L•

Former SEC-registered adviserNew York, New YorkCRD 281479SEC 801-106804IAPD
Latest filing Sep 11, 2019
First filing on the tape Oct 13, 2015 · 13 filings
RAUM
$438M
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$360M gross assets
History
13 filings and snapshots on the tape
RAUM$438M as of Mar 29, 2019
Mar 29, 2016$265M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 29, 20160 then
Employees (5.A)3 as of Mar 29, 2019
Mar 29, 20163 then
Private funds1 as of Mar 29, 2019
Mar 29, 20161 then
RAUM -0.3% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 11, 2019; 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
$87.5MderivedRAUM 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
-0.3%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
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)
  • 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$438M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• R•••• M•••• M••••• F••• L••Hedge Fund$360M5Feb 20, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• A•••••• N•• · Chief Operating Officer And Chief Compliance Officercontrol
        since 06/2018 · owns less than 5%
      • H•••• M•••• N•• · Chief Financial Officercontrol
        since 06/2018 · owns less than 5%
      • P•••••• A•••• N•• · Chief Executive Officer And Chief Investment Officercontrol
        since 09/2014 · owns 75% or more
      • P•••••• A•••• N•• · Ownercontrol
        since 01/2015 · owns 75% or more of S••••• R•••• A•••• M••••••••• L•/S••••• R•••• A•••• M••••••••• G• L••••••/S••••• R•••• Asset Management Uk Llp
      Entity owners
      • S••••• R•••• A•••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      • S••••• R•••• A•••• M••••••••• G• L•••••• · General Partner
        indirect · owns F of S••••• R•••• A•••• M••••••••• L•
      • S••••• R•••• A•••• M••••••••• I••••••••• L•• · Managing Member
        indirect · owns 75% or more of S••••• R•••• A•••• M••••••••• G• L••/S••••• R•••• Asset Management Uk Llp
      • S••••• R•••• A•••• M••••••••• L• · Member
        indirect · owns 75% or more of S••••• R•••• Asset M•••••••• I••••••••• LLC
      Related persons
      Schedule D 7.A
      • S••••• R•••• •••• G•• L••••••
        pooled vehicle sponsory
      • S••••• R•••• A•••• M•••••••• L•
        investment adviserbankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 5
        Jun 20, 2018 to Mar 29, 2019
      • Advisory employees · 3 to 1
        Jun 20, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 3 to 5
        Jun 20, 2018 to Mar 29, 2019
      • Employees · 5 to 3
        Jun 20, 2018 to Mar 29, 2019
      • Discretionary RAUM · $439M to $438M
        Jun 20, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $439M to $438M
        Jun 20, 2018 to Mar 29, 2019
      • RAUM · $439M to $438M
        Jun 20, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 22, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Mar 29, 2018
      • Discretionary RAUM · $278M to $439M
        Mar 22, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 439000000.0
        Mar 22, 2017 to Mar 29, 2018
      • RAUM · $278M to $439M
        Mar 22, 2017 to Mar 29, 2018
      • Advisory employees · 1 to 3
        Mar 29, 2016 to Mar 22, 2017
      • Employees · 3 to 5
        Mar 29, 2016 to Mar 22, 2017
      • Discretionary RAUM · $265M to $278M
        Mar 29, 2016 to Mar 22, 2017
      • RAUM · $265M to $278M
        Mar 29, 2016 to Mar 22, 2017
      • Accounts · 0 to 3
        Oct 19, 2015 to Feb 10, 2016
      • Discretionary RAUM · $0 to $265M
        Oct 19, 2015 to Feb 10, 2016
      • RAUM · $0 to $265M
        Oct 19, 2015 to Feb 10, 2016
      Signals
      2 dated events
      • S••••• R•••• A•••• M••••••••• U• L• reported RAUM $439.0M, up 58% from $278.0M (2017-03-22 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • S••••• R•••• A•••• M••••••••• U• L• filed its initial SEC registration (Form ADV)
        Oct 13, 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