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Former SEC-registered adviser

S••••• C•••••• M••••••••• L••

Former SEC-registered adviserRye Brook, New YorkCRD 282028SEC 801-107726IAPD
Latest filing Mar 30, 2023
First filing on the tape Apr 15, 2016 · 10 filings
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.0%
$5.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$83.2M gross assets
History
10 filings and snapshots on the tape
RAUM$177M as of Mar 30, 2023
Mar 29, 2017$44.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 29, 20170 then
Employees (5.A)4 as of Mar 30, 2023
Mar 29, 20173 then
Private funds1 as of Mar 30, 2023
Mar 29, 20171 then
RAUM -22% over the last fiscal year+1.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$35.4MderivedRAUM 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
-22%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$172M97%
  • Individuals$5.3M3.0%
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
$0 for 0 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••••• M•••••••• T•••• R••••• F••• I• L•Hedge Fund$83.2M12Mar 30, 2020
      S••••• M•••••••• T•••• R••••• F••• L•no longer reportedHedge Fund$13.7M3Nov 13, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• B••••• A•••• · Managing Member/Chief Compliance Officercontrol
        since 10/2011 · owns 50% to 75%
      • M•••••• R••••••• A••••• · Managing Membercontrol
        since 10/2011 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • S••••• G• I• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Jan 20, 2023 to Mar 30, 2023
      • Employees · 3 to 4
        Jan 20, 2023 to Mar 30, 2023
      • Discretionary RAUM · $228M to $177M
        Jan 20, 2023 to Mar 30, 2023
      • Individual RAUM · $5.3M to $5.3M
        Jan 20, 2023 to Mar 30, 2023
      • Pooled vehicle RAUM · $222M to $172M
        Jan 20, 2023 to Mar 30, 2023
      • RAUM · $228M to $177M
        Jan 20, 2023 to Mar 30, 2023
      • Pooled vehicle clients · 3 to 4
        Apr 2, 2021 to Mar 28, 2022
      • Discretionary RAUM · $161M to $228M
        Apr 2, 2021 to Mar 28, 2022
      • Individual RAUM · $7.6M to $5.3M
        Apr 2, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $154M to $222M
        Apr 2, 2021 to Mar 28, 2022
      • RAUM · $161M to $228M
        Apr 2, 2021 to Mar 28, 2022
      • Advisory activities · 1 to 2
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 4 to 3
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 2 to 1
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $170M to $161M
        Mar 30, 2020 to Mar 31, 2021
      • Individual RAUM · unset to 7554407.0
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $170M to $154M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $170M to $161M
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 3 to 5
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 2 to 4
        Mar 29, 2019 to Mar 30, 2020
      • Private funds · 1 to 2
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $115M to $170M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $115M to $170M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $115M to $170M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 2 to 3
        Mar 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $73.9M to $115M
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $73.9M to $115M
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $73.9M to $115M
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 2.0
        Mar 29, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $44.9M to $73.9M
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 73933056.0
        Mar 29, 2017 to Mar 28, 2018
      • RAUM · $44.9M to $73.9M
        Mar 29, 2017 to Mar 28, 2018
      • Advisory activities · 2 to 1
        Apr 15, 2016 to Mar 29, 2017
      • Assets in custody · unset to 0.0
        Apr 15, 2016 to Mar 29, 2017
      • Custody of client assets · false to true
        Apr 15, 2016 to Mar 29, 2017
      • Private funds · 2 to 1
        Apr 15, 2016 to Mar 29, 2017
      • Discretionary RAUM · $28.0M to $44.9M
        Apr 15, 2016 to Mar 29, 2017
      • RAUM · $28.0M to $44.9M
        Apr 15, 2016 to Mar 29, 2017
      Signals
      1 dated events
      • S••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 15, 2016 · 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