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Former SEC-registered adviser

I••••••••• A•••• M•••••••••

Former SEC-registered adviserTarzana, CaliforniaCRD 283109SEC 801-107371IAPD
Legal name I••••••••• A•••• M••••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Feb 26, 2016 · 7 filings
RAUM
$82.5M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$40.7M gross assets
History
7 filings and snapshots on the tape
RAUM$82.5M as of Mar 29, 2019
Mar 24, 2017$167M then
HNW client RAUM$0 as of Mar 29, 2019
Mar 23, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 24, 20170 then
Employees (5.A)4 as of Mar 29, 2019
Mar 24, 20174 then
Private funds2 as of Mar 29, 2019
Mar 24, 20171 then
RAUM -47% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$20.6MderivedRAUM 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
-47%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
$36.7M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$41.9M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$36.7M 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••• M••••• F••• L•••no longer reportedHedge Fund$177M8Aug 18, 2015
      I•• C••••• O••••••••• M••••• F•••• L•Hedge Fund$36.7M11Jul 23, 2012
      M••• 2••••••• 1•• L•Hedge Fund$4.0M7Sep 1, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• N••••••• R••••••••• · Chief Compliance Officer And Chief Financial Officercontrol
        since 06/2016 · owns less than 5%
      • S•••••• T•••• A•••• · Managing Member, Cio And Ceocontrol
        since 01/2016 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Mar 23, 2018 to Mar 29, 2019
      • Assets in custody · $48.1M to $36.7M
        Mar 23, 2018 to Mar 29, 2019
      • Discretionary RAUM · $154M to $82.5M
        Mar 23, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $100M to $41.9M
        Mar 23, 2018 to Mar 29, 2019
      • RAUM · $154M to $82.5M
        Mar 23, 2018 to Mar 29, 2019
      • Accounts · 5 to 4
        Sep 1, 2017 to Mar 23, 2018
      • Charity clients · unset to 0.0
        Sep 1, 2017 to Mar 23, 2018
      • Corporate clients · unset to 0.0
        Sep 1, 2017 to Mar 23, 2018
      • HNW clients · unset to 0.0
        Sep 1, 2017 to Mar 23, 2018
      • Individual clients · unset to 0.0
        Sep 1, 2017 to Mar 23, 2018
      • Pension plan clients · unset to 0.0
        Sep 1, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 3.0
        Sep 1, 2017 to Mar 23, 2018
      • Assets in custody · $48.3M to $48.1M
        Sep 1, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Sep 1, 2017 to Mar 23, 2018
      • Discretionary RAUM · $167M to $154M
        Sep 1, 2017 to Mar 23, 2018
      • HNW RAUM · unset to 0.0
        Sep 1, 2017 to Mar 23, 2018
      • Individual RAUM · unset to 0.0
        Sep 1, 2017 to Mar 23, 2018
      • Pension RAUM · unset to 0.0
        Sep 1, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 100321273.0
        Sep 1, 2017 to Mar 23, 2018
      • RAUM · $167M to $154M
        Sep 1, 2017 to Mar 23, 2018
      • Private funds · 1 to 2
        Mar 24, 2017 to Sep 1, 2017
      • Accounts · 6 to 5
        Aug 22, 2016 to Mar 24, 2017
      • Assets in custody · $89.5M to $48.3M
        Aug 22, 2016 to Mar 24, 2017
      • Employees · 3 to 4
        Aug 22, 2016 to Mar 24, 2017
      • Private funds · 2 to 1
        Aug 22, 2016 to Mar 24, 2017
      • Discretionary RAUM · $285M to $167M
        Aug 22, 2016 to Mar 24, 2017
      • RAUM · $285M to $167M
        Aug 22, 2016 to Mar 24, 2017
      • HQ city · LOS ANGELES to TARZANA
        Jul 8, 2016 to Aug 22, 2016
      • Accounts · 4 to 6
        Feb 26, 2016 to Jul 8, 2016
      • Assets in custody · $87.5M to $89.5M
        Feb 26, 2016 to Jul 8, 2016
      • Discretionary RAUM · $138M to $285M
        Feb 26, 2016 to Jul 8, 2016
      • RAUM · $138M to $285M
        Feb 26, 2016 to Jul 8, 2016
      • Succession · true to false
        Feb 26, 2016 to Jul 8, 2016
      Signals
      2 dated events
      • I••••••••• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Feb 26, 2016 · Succession (Item 4) · fact
      • I••••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
        Feb 26, 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