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Former SEC-registered adviser

A•••••• • M••••• A•••• M••••••••• S•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 283338SEC 801-107709IAPD
Latest filing Jan 29, 2019
First filing on the tape Apr 12, 2016 · 5 filings
RAUM
$2.7B
reported, Item 5.F
Discretionary
5.9%
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
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
$2.0B gross assets
History
5 filings and snapshots on the tape
RAUM$2.7B as of Jan 29, 2019
Jan 31, 2017$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2019
Jan 31, 20170 then
Employees (5.A)12 as of Jan 29, 2019
Jan 31, 201721 then
Private funds2 as of Jan 29, 2019
Jan 31, 20172 then
RAUM +1.4% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 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
$387MderivedRAUM over accounts (5.F.2.f)
Discretionary
5.9%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+1.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$160M, 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.2B81%
  • Insurance companies$509M19%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$160M for 4 clientsreported
Compensation
hourly, 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
      Z•••• I••• L••••••Securitized Asset Fund$1.0B1Feb 14, 2012
      Z•••• I• 2•••••• L••••••Securitized Asset Fund$997M1Feb 14, 2012
      Z•••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$812M2Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• T•••• J• · Ceocontrol
        since 04/2016 · owns less than 5%
      • A••••••• A••••••• C••••••• · Shareholdercontrol
        since 03/1984 · owns 50% to 75% of A•••••• • M•••••• I•••
      • M•••••• B••••• P••• · Shareholdercontrol
        since 03/1984 · owns 50% to 75% of A•••••• • M•••••• I•••
      • C•••• S•••••• J• · Cfo
        since 03/2016 · owns less than 5%
      • F••••••••• D••••• · Vice President
        since 04/2016 · owns less than 5%
      • P•••••••• J••• · Secretary
        since 04/2016 · owns less than 5%
      • W••••••• K••••• A•••••• · Chief Compliance Officer
        since 03/2016 · owns less than 5%
      Entity owners
      • A•••••• • M••••• A•••• M••••••••• S•••••••• L•• · Member
        direct · owns 75% or more
      • A•••••• • M••••• H•••••••• L•• · Member
        indirect · owns 75% or more of A•••••• • M••••• A•••• M••••••••• S•••••••• L••
      • A•••••• • M•••••• I••• · Member
        indirect · owns 50% to 75% of A•••••• • M••••• A•••• M••••••••• S•••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA2 employees
      • Phoenix, AZ1 employees
      • Los Angeles, CA1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $123M to $160M
        Jan 29, 2018 to Jan 29, 2019
      • Employees · 17 to 12
        Jan 29, 2018 to Jan 29, 2019
      • Discretionary RAUM · $2.2B to $160M
        Jan 29, 2018 to Jan 29, 2019
      • Non-discretionary RAUM · $509M to $2.5B
        Jan 29, 2018 to Jan 29, 2019
      • Pooled vehicle RAUM · $2.2B to $2.2B
        Jan 29, 2018 to Jan 29, 2019
      • RAUM · $2.7B to $2.7B
        Jan 29, 2018 to Jan 29, 2019
      • Succession · false to true
        Jan 29, 2018 to Jan 29, 2019
      • Advisory employees · 20 to 8
        Jan 31, 2017 to Jan 29, 2018
      • Advisory activities · 1 to 2
        Jan 31, 2017 to Jan 29, 2018
      • Charity clients · unset to 0.0
        Jan 31, 2017 to Jan 29, 2018
      • Corporate clients · unset to 0.0
        Jan 31, 2017 to Jan 29, 2018
      • HNW clients · unset to 0.0
        Jan 31, 2017 to Jan 29, 2018
      • Individual clients · unset to 0.0
        Jan 31, 2017 to Jan 29, 2018
      • Pension plan clients · unset to 0.0
        Jan 31, 2017 to Jan 29, 2018
      • Pooled vehicle clients · unset to 6.0
        Jan 31, 2017 to Jan 29, 2018
      • Assets in custody · $148M to $123M
        Jan 31, 2017 to Jan 29, 2018
      • Employees · 21 to 17
        Jan 31, 2017 to Jan 29, 2018
      • Other offices · unset to 3.0
        Jan 31, 2017 to Jan 29, 2018
      • Discretionary RAUM · $2.2B to $2.2B
        Jan 31, 2017 to Jan 29, 2018
      • Pooled vehicle RAUM · unset to 2162771000.0
        Jan 31, 2017 to Jan 29, 2018
      • RAUM · $2.7B to $2.7B
        Jan 31, 2017 to Jan 29, 2018
      • Advisory employees · 23 to 20
        Sep 8, 2016 to Jan 31, 2017
      • Assets in custody · $265M to $148M
        Sep 8, 2016 to Jan 31, 2017
      • Employees · 26 to 21
        Sep 8, 2016 to Jan 31, 2017
      • Private funds · 3 to 2
        Sep 8, 2016 to Jan 31, 2017
      • Discretionary RAUM · $3.2B to $2.2B
        Sep 8, 2016 to Jan 31, 2017
      • Non-discretionary RAUM · $0 to $509M
        Sep 8, 2016 to Jan 31, 2017
      • RAUM · $3.2B to $2.7B
        Sep 8, 2016 to Jan 31, 2017
      • Accounts · 3 to 7
        Apr 12, 2016 to Sep 8, 2016
      • Advisory employees · 15 to 23
        Apr 12, 2016 to Sep 8, 2016
      • Business name · A•••••• • M••••• A•••• M••••••••• S••••••• L•• to A•••••• • M••••• A•••• M••••••••• S•••••••• L••
        Apr 12, 2016 to Sep 8, 2016
      • Assets in custody · unset to 265000000.0
        Apr 12, 2016 to Sep 8, 2016
      • Custody of client assets · false to true
        Apr 12, 2016 to Sep 8, 2016
      • Employees · 15 to 26
        Apr 12, 2016 to Sep 8, 2016
      • Legal name · A•••••• • M••••• A•••• M••••••••• S••••••• L•• to A•••••• • M••••• A•••• M••••••••• S•••••••• L••
        Apr 12, 2016 to Sep 8, 2016
      • Discretionary RAUM · $2.9B to $3.2B
        Apr 12, 2016 to Sep 8, 2016
      • RAUM · $2.9B to $3.2B
        Apr 12, 2016 to Sep 8, 2016
      Signals
      2 dated events
      • A•••••• • M••••• A•••• M••••••••• S•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 29, 2019 · Succession (Item 4) · fact
      • A•••••• • M••••• A•••• M••••••••• S••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 12, 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