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Former SEC-registered adviser

S•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 282123SEC 801-107013IAPD
Latest filing Apr 1, 2020
First filing on the tape Nov 30, 2015 · 8 filings
RAUM
$350M
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
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$185M gross assets
History
8 filings and snapshots on the tape
RAUM$350M as of Apr 1, 2020
Mar 22, 2017$254M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2020
Mar 22, 20170 then
Employees (5.A)6 as of Apr 1, 2020
Mar 22, 20176 then
Private funds1 as of Apr 1, 2020
Mar 22, 20171 then
RAUM -42% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2020; 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
$117MderivedRAUM 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
-42%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
  • 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)
  • 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$350M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
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•••••••• E••••••••• M••••• F••• L•••Hedge Fund$185M43Mar 17, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• R•••• •••• · Principalcontrol
        since 04/2015 · owns less than 5%
      • H•••• S••••• M••••• · Principalcontrol
        since 04/2015 · owns less than 5%
      • S••••••• J••••••• E••• · Chief Financial Officer / Chief Compliance Officercontrol
        since 11/2015 · owns less than 5%
      • Z••••• G•••••• •••• · Principalcontrol
        since 04/2015 · owns less than 5%
      • C••••••• R•••• •••• · Limited Partner / General Partnercontrol
        since 04/2015 · owns 75% or more of D•••• O•• L•
      • H•••• S••••• M••••• · Limited Partner / General Partnercontrol
        since 04/2015 · owns 75% or more of M••••• O•• L•
      • Z••••• G•••••• •••• · Limited Partner / General Partnercontrol
        since 04/2015 · owns 75% or more of M• L•••
      Entity owners
      • D•••• O•• L• · Limited Partner
        direct · owns 25% to 50%
      • G•• P••••••• L•• · General Partner
        direct · owns less than 5%
      • M••••• O•• L• · Limited Partner
        direct · owns 25% to 50%
      • M• L••• · Limited Partner
        direct · owns 25% to 50%
      • D•••• O•• L• · Member
        indirect · owns 25% to 50% of Gsr Partner LLC
      • M••••• O•• L• · Member
        indirect · owns 25% to 50% of Gsr Partner LLC
      • M• L••• · Member
        indirect · owns 25% to 50% of Gsr Partner LLC
      Related persons
      Schedule D 7.A
      • S•••••••• F•••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $605M to $350M
        Mar 29, 2019 to Apr 1, 2020
      • Pooled vehicle RAUM · $605M to $350M
        Mar 29, 2019 to Apr 1, 2020
      • RAUM · $605M to $350M
        Mar 29, 2019 to Apr 1, 2020
      • Discretionary RAUM · $350M to $605M
        Mar 26, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $350M to $605M
        Mar 26, 2018 to Mar 29, 2019
      • RAUM · $350M to $605M
        Mar 26, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 22, 2017 to Mar 26, 2018
      • Other offices · unset to 1.0
        Mar 22, 2017 to Mar 26, 2018
      • Discretionary RAUM · $254M to $350M
        Mar 22, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 349600000.0
        Mar 22, 2017 to Mar 26, 2018
      • RAUM · $254M to $350M
        Mar 22, 2017 to Mar 26, 2018
      • Advisory employees · 3 to 5
        Apr 11, 2016 to Mar 22, 2017
      • Assets in custody · 0.0 to unset
        Apr 11, 2016 to Mar 22, 2017
      • Custody of client assets · true to false
        Apr 11, 2016 to Mar 22, 2017
      • Employees · 4 to 6
        Apr 11, 2016 to Mar 22, 2017
      • Financial planning clients · unset to 0
        Apr 11, 2016 to Mar 22, 2017
      • Discretionary RAUM · $105M to $254M
        Apr 11, 2016 to Mar 22, 2017
      • RAUM · $105M to $254M
        Apr 11, 2016 to Mar 22, 2017
      • Accounts · 0 to 3
        Dec 4, 2015 to Mar 17, 2016
      • Assets in custody · unset to 0.0
        Dec 4, 2015 to Mar 17, 2016
      • Custody of client assets · false to true
        Dec 4, 2015 to Mar 17, 2016
      • Private funds · unset to 1
        Dec 4, 2015 to Mar 17, 2016
      • Discretionary RAUM · $0 to $105M
        Dec 4, 2015 to Mar 17, 2016
      • RAUM · $0 to $105M
        Dec 4, 2015 to Mar 17, 2016
      Signals
      3 dated events
      • S•••••••• L• reported RAUM $350.0M, down 42% from $604.6M (2019-03-29 to 2020-04-01)
        Apr 1, 2020 · RAUM change · derived
      • S•••••••• L• reported RAUM $604.6M, up 73% from $349.6M (2018-03-26 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • S•••••••• L• filed its initial SEC registration (Form ADV)
        Nov 30, 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