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RIA Intelligence

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A••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $116M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$116M
Form ADV
RAUM change, 1 year
-93%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 3 Aug 2020, RAUM $1.61B to $116M (-92.8%) on the Form ADV filed 3 Aug 2020.

Every filed figure, and the identifiersCRD 283487 · SEC 801-108736 · 17 filingsShow
CRD 283487SEC 801-108736First filing on the tape Nov 21, 2016, latest Aug 3, 2020IAPD
RAUM
$116M
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
Not computed
derived; firm RAUM over IAPD count
Employees
23
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$116M gross assets
History
17 filings and snapshots on the tape

RAUM -93% over the last fiscal year · the tape starts Nov 21, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$2.0B as of Mar 12, 2020
Mar 29, 2018$730M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2020
Mar 29, 20180 then
Employees (5.A)32 as of Mar 12, 2020
Mar 29, 201835 then
Private funds6 as of Mar 12, 2020
Mar 29, 20183 then
RAUM -93% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 3, 2020; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$116MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year
+26%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
$116M, 1 clientreportedItem 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)
  • 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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$116M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$116M for 1 clientreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• C•• V• L•••Securitized Asset Fund$141M2Mar 12, 2020
      A•• R••• E••••• C••••••••• F•••• L•Real Estate Fund$116M24Mar 31, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••••• V•••• · C••••••• E•••••••• O•••••• • A••••••• I••••••••• M••••••••• L••• A•• A•• R••• E••••• G•• L••control
        since 05/2020 · owns less than 5%
      • P••••• D••••••• V••••• · C•••• C••••••••• O•••••• • A••••••• I••••••••• M••••••••• L••• A•• A•• R••• E••••• G•• L••control
        since 04/2018 · owns less than 5%
      • S••••••• J••• J• · C•••• F•••••••• O••••••••• •••••••• I••••••••• M••••••••• L••• A•• A•• R••• E••••• G•• L••control
        since 04/2016 · owns less than 5%
      Entity owners
      • I••••••••• I••• · S••• O••••• A••••••• I••••••••• M••••••••• L••
        direct · owns 75% or more
      • A••••••• I••• · Owner
        indirect · owns 75% or more of I••••••••• I••• · public reporting company
      Related persons
      Schedule D 7.A
      • A••••••• B•••••• I•••••••• C•••••• O• F••••••
        real estaten
      • A••••••• M••••••• L••• I•••••••• C••••••
        real estaten
      • A••••••• S••••••• I•••••••• C••••••
        real estaten
      • A••••••• I•••
        real estatey
      • T•• S••••••••• I•••
        broker-dealern
      All 6 related persons
      • U••••• S•••••• P••••••••• C•••••••••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 1
        May 6, 2020 to Jul 18, 2020
      • Advisory employees · 17 to 13
        May 6, 2020 to Jul 18, 2020
      • Employees · 28 to 23
        May 6, 2020 to Jul 18, 2020
      • Private funds · 6 to 1
        May 6, 2020 to Jul 18, 2020
      • Discretionary RAUM · $2.0B to $116M
        May 6, 2020 to Jul 18, 2020
      Full history · 52 changes
      • Pooled vehicle RAUM · $2.0B to $116M
        May 6, 2020 to Jul 18, 2020
      • RAUM · $2.0B to $116M
        May 6, 2020 to Jul 18, 2020
      • Advisory employees · 21 to 17
        Mar 12, 2020 to May 1, 2020
      • Employees · 32 to 28
        Mar 12, 2020 to May 1, 2020
      • Accounts · 5 to 6
        Apr 30, 2019 to Mar 12, 2020
      • Advisory employees · 24 to 21
        Apr 30, 2019 to Mar 12, 2020
      • Pooled vehicle clients · 5 to 6
        Apr 30, 2019 to Mar 12, 2020
      • Assets in custody · $0 to $116M
        Apr 30, 2019 to Mar 12, 2020
      • Employees · 33 to 32
        Apr 30, 2019 to Mar 12, 2020
      • Private funds · 5 to 6
        Apr 30, 2019 to Mar 12, 2020
      • Discretionary RAUM · $1.6B to $2.0B
        Apr 30, 2019 to Mar 12, 2020
      • Pooled vehicle RAUM · $1.6B to $2.0B
        Apr 30, 2019 to Mar 12, 2020
      • RAUM · $1.6B to $2.0B
        Apr 30, 2019 to Mar 12, 2020
      • Accounts · 3 to 5
        Jun 18, 2018 to Mar 18, 2019
      • Advisory employees · 22 to 24
        Jun 18, 2018 to Mar 18, 2019
      • Pooled vehicle clients · 3 to 5
        Jun 18, 2018 to Mar 18, 2019
      • Employees · 35 to 33
        Jun 18, 2018 to Mar 18, 2019
      • Private funds · 3 to 5
        Jun 18, 2018 to Mar 18, 2019
      • Discretionary RAUM · $730M to $1.6B
        Jun 18, 2018 to Mar 18, 2019
      • Pooled vehicle RAUM · $730M to $1.6B
        Jun 18, 2018 to Mar 18, 2019
      • RAUM · $730M to $1.6B
        Jun 18, 2018 to Mar 18, 2019
      • Related broker-dealer · false to true
        Jun 18, 2018 to Mar 18, 2019
      • Advisory employees · 23 to 22
        Dec 5, 2017 to Mar 29, 2018
      • Employees · 33 to 35
        Dec 5, 2017 to Mar 29, 2018
      • Financial planning clients · 1-10 to 0
        Dec 5, 2017 to Mar 29, 2018
      • Private funds · 1 to 3
        Dec 5, 2017 to Mar 29, 2018
      • Discretionary RAUM · $444M to $730M
        Dec 5, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · $444M to $730M
        Dec 5, 2017 to Mar 29, 2018
      • RAUM · $444M to $730M
        Dec 5, 2017 to Mar 29, 2018
      • Related adviser · true to false
        Dec 5, 2017 to Mar 29, 2018
      • Accounts · 2 to 3
        Sep 26, 2017 to Dec 5, 2017
      • Advisory activities · 2 to 1
        Sep 26, 2017 to Dec 5, 2017
      • Pooled vehicle clients · unset to 3.0
        Sep 26, 2017 to Dec 5, 2017
      • Other offices · unset to 0.0
        Sep 26, 2017 to Dec 5, 2017
      • Discretionary RAUM · $111M to $444M
        Sep 26, 2017 to Dec 5, 2017
      • Pooled vehicle RAUM · unset to 444411314.0
        Sep 26, 2017 to Dec 5, 2017
      • RAUM · $111M to $444M
        Sep 26, 2017 to Dec 5, 2017
      • RAUM · unset to 111220935.0
        Nov 21, 2016 to Mar 31, 2017
      • Accounts · unset to 2.0
        Nov 21, 2016 to Mar 31, 2017
      • Advisory employees · 22 to 23
        Nov 21, 2016 to Mar 31, 2017
      • Assets in custody · unset to 0.0
        Nov 21, 2016 to Mar 31, 2017
      • Custody of client assets · false to true
        Nov 21, 2016 to Mar 31, 2017
      • Employees · 32 to 33
        Nov 21, 2016 to Mar 31, 2017
      • Financial planning clients · 0 to 1-10
        Nov 21, 2016 to Mar 31, 2017
      • Private funds · unset to 1
        Nov 21, 2016 to Mar 31, 2017
      • Discretionary RAUM · unset to 111220935.0
        Nov 21, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · unset to 0.0
        Nov 21, 2016 to Mar 31, 2017
      Signals
      8 dated events
      • ••• Locked
        Aug 3, 2020 · Control person left · inference
      • ••• Locked
        Jul 18, 2020 · RAUM change · derived
      • ••• Locked
        May 1, 2020 · Control person joined · fact
      • ••• Locked
        May 1, 2020 · Control person left · inference
      • ••• Locked
        Mar 12, 2020 · RAUM change · derived
      Full timeline · 8 events
      • ••• Locked
        Mar 18, 2019 · RAUM change · derived
      • ••• Locked
        Mar 29, 2018 · RAUM change · derived
      • ••• Locked
        Nov 21, 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      A••••••• I••••••••• M••••••••• L•• is the same institution as 2 records in Real Estate Funds and Private Credit.

      Real Estate Funds1Private Credit1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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