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Former SEC-registered adviser

C•••• M••• I••••••••• L•

Former SEC-registered adviserGreenwich, ConnecticutCRD 282875SEC 801-107350IAPD
Latest filing Mar 27, 2019
First filing on the tape Feb 23, 2016 · 6 filings
RAUM
$313M
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
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$313M gross assets
History
6 filings and snapshots on the tape
RAUM$313M as of Mar 27, 2019
Mar 24, 2017$241M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 24, 20170 then
Employees (5.A)12 as of Mar 27, 2019
Mar 24, 201711 then
Private funds1 as of Mar 27, 2019
Mar 24, 20171 then
RAUM +8.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
$78.3MderivedRAUM 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
+8.1%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
$313M, 4 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
  • 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)
  • 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$313M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$313M for 4 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• M••• M••••• F••• L••Hedge Fund$313M31Jul 1, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••• K••••••• F•••••• · Chief Operating Officer And Chief Compliance Officercontrol
        since 09/2015 · owns less than 5%
      • W•••••• T•••••• P••• · Limited Partner Of Registrantcontrol
        since 09/2015 · owns 75% or more
      • W•••••• T•••••• P••• · Membercontrol
        since 09/2015 · owns 75% or more of C•••• M••• I••••••••• L••
      Entity owners
      • C•••• M••• I••••••••• L•• · General Partner Of Registrant
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••• M••• 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 · $290M to $313M
        Mar 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $290M to $313M
        Mar 29, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $290M to $313M
        Mar 29, 2018 to Mar 27, 2019
      • RAUM · $290M to $313M
        Mar 29, 2018 to Mar 27, 2019
      • Advisory employees · 6 to 7
        May 24, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 4.0
        May 24, 2017 to Mar 29, 2018
      • Assets in custody · $241M to $290M
        May 24, 2017 to Mar 29, 2018
      • Employees · 11 to 12
        May 24, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        May 24, 2017 to Mar 29, 2018
      • Discretionary RAUM · $241M to $290M
        May 24, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 289677132.0
        May 24, 2017 to Mar 29, 2018
      • RAUM · $241M to $290M
        May 24, 2017 to Mar 29, 2018
      • Related adviser · true to false
        May 24, 2017 to Mar 29, 2018
      • Assets in custody · $151M to $241M
        Jul 1, 2016 to Mar 24, 2017
      • Discretionary RAUM · $151M to $241M
        Jul 1, 2016 to Mar 24, 2017
      • RAUM · $151M to $241M
        Jul 1, 2016 to Mar 24, 2017
      • Accounts · 0 to 4
        Feb 23, 2016 to Jul 1, 2016
      • Assets in custody · unset to 150812753.0
        Feb 23, 2016 to Jul 1, 2016
      • Custody of client assets · false to true
        Feb 23, 2016 to Jul 1, 2016
      • Private funds · unset to 1
        Feb 23, 2016 to Jul 1, 2016
      • Discretionary RAUM · $0 to $151M
        Feb 23, 2016 to Jul 1, 2016
      • RAUM · $0 to $151M
        Feb 23, 2016 to Jul 1, 2016
      Signals
      1 dated events
      • C•••• M••• I••••••••• L• filed its initial SEC registration (Form ADV)
        Feb 23, 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