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Former SEC-registered adviser

A•••• F••• S•••••••• L••

Former SEC-registered adviserCRD 284052SEC 801-107950IAPD
Latest filing Sep 14, 2016
First filing on the tape Jun 2, 2016 · 2 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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of Sep 14, 2016
Jun 2, 2016$3.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 14, 2016
Jun 2, 20160 then
Employees (5.A)1 as of Sep 14, 2016
Jun 2, 20161 then
Private funds: 4
Practice profile
derived from the filing of Sep 14, 2016; 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
unknownderived1 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• D•••••• G••••• F•••• L•Hedge Fund$976,6921Nov 29, 2012
      A••••• D•••••• G••••• I•• F•••• L•Hedge Fund$972,0401Nov 29, 2012
      A••••• P•••••••• M••••••••• I•• F••• ••••• L•Hedge Fund$952,8521Jan 3, 2012
      A••••• P•••••••• M••••••••• F••• ••••• L•Hedge Fund$951,1313Jan 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T••••••••• K••••••• D•••• · Chief Compliance Officercontrol
        since 11/2015 · owns less than 5%
      • T••••••••• K••••••• D•••• · Membercontrol
        since 11/2015 · owns 75% or more of B••••••••• N••••• L••
      Entity owners
      • B••••••••• N••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••• F••• M••••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 0
        Jun 2, 2016 to Sep 14, 2016
      • Assets in custody · $3.9M to $0
        Jun 2, 2016 to Sep 14, 2016
      • Custody of client assets · true to false
        Jun 2, 2016 to Sep 14, 2016
      • Private funds · 4 to unset
        Jun 2, 2016 to Sep 14, 2016
      • Discretionary RAUM · $3.9M to $0
        Jun 2, 2016 to Sep 14, 2016
      • RAUM · $3.9M to $0
        Jun 2, 2016 to Sep 14, 2016
      • Related bank · false to true
        Jun 2, 2016 to Sep 14, 2016
      Signals
      1 dated events
      • A•••• F••• S•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 2, 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