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Former SEC-registered adviser

C• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 283988SEC 801-108300IAPD
Latest filing Mar 30, 2018
First filing on the tape Aug 16, 2016 · 7 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2018
Mar 30, 2017$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20170 then
Employees (5.A)10 as of Mar 30, 2018
Mar 30, 201710 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
yesreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• D••••• W•••• · Chief Compliance Officer/Chief Operations Officercontrol
        since 09/2015 · owns less than 5%
      • P••••••• A•••••• R•••• · Managercontrol
        since 09/2015 · owns less than 5%
      • S•••••• S•••••• F••••••• · Chief Financial Officercontrol
        since 07/2017 · owns less than 5%
      • M•••••• T••• · Membercontrol
        since 01/2004 · owns 25% to 50% of F••••••• L••
      • M•••••• W••••• · Membercontrol
        since 01/2004 · owns 25% to 50% of F••••••• L••
      Entity owners
      • C• C•••••• M•••••• H•••••••• L•• · Managing Member
        direct · owns 75% or more
      • F••••••• L•• · Member
        indirect · owns 75% or more of C• C•••••• M•••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Boca Raton, FL1 employees
      What changed
      consecutive filings, newest first
      • Charity clients · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Corporate clients · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • HNW clients · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Individual clients · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Pension plan clients · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Pooled vehicle clients · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Assets in custody · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Custody of client assets · false to true
        Aug 22, 2017 to Oct 11, 2017
      • Other offices · unset to 1.0
        Aug 22, 2017 to Oct 11, 2017
      • HNW RAUM · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Individual RAUM · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Pension RAUM · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Pooled vehicle RAUM · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Wrap assets (manager) · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Wrap assets (sponsor) · unset to 0.0
        Aug 22, 2017 to Oct 11, 2017
      • Advisory activities · 3 to 4
        Mar 30, 2017 to Aug 2, 2017
      Signals
      1 dated events
      • C• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 16, 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