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Former SEC-registered adviser

A•••••••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 281592SEC 801-110671IAPD
Latest filing Mar 28, 2019
First filing on the tape May 19, 2017 · 3 filings
RAUM
$451M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$451M gross assets
History
3 filings and snapshots on the tape
RAUM$451M as of Mar 28, 2019
Mar 29, 2018$554M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 29, 20180 then
Employees (5.A)6 as of Mar 28, 2019
Mar 29, 20186 then
Private funds1 as of Mar 28, 2019
Mar 29, 20181 then
RAUM -19% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
$150MderivedRAUM 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
-19%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
$451M, 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)
  • 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$451M100%
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
$451M 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
      A•••••••• M••••• F••• •••• L•Hedge Fund$451M73Mar 18, 2016
      A•••••••• M••••• F•••• L•no longer reportedHedge Fund$65.4M21Nov 25, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• M•••• A••••• · Chief Financial Officer/ Chief Compliance Officercontrol
        since 07/2015 · owns less than 5%
      • K•••• G••••••••• E•••• · Owner Of A•••••••• C•••••• M••••••••• L•control
        since 03/2015 · owns 75% or more
      • K•••• G••••••••• E•••• · Managing Membercontrol
        since 03/2015 · owns 75% or more of A•••••••• C•••••• G•• L••
      Entity owners
      • A•••••••• C•••••• G•• L•• · General Partner Of A•••••••• C•••••• M••••••••• L•
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $554M to $451M
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $554M to $451M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $554M to $451M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $554M to $451M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle clients · unset to 3.0
        May 19, 2017 to Mar 29, 2018
      • Assets in custody · $529M to $554M
        May 19, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        May 19, 2017 to Mar 29, 2018
      • Private funds · 2 to 1
        May 19, 2017 to Mar 29, 2018
      • Discretionary RAUM · $529M to $554M
        May 19, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 554030412.0
        May 19, 2017 to Mar 29, 2018
      • RAUM · $529M to $554M
        May 19, 2017 to Mar 29, 2018
      • Related adviser · true to false
        May 19, 2017 to Mar 29, 2018
      Signals
      1 dated events
      • A•••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        May 19, 2017 · 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