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A•••• C•••••• A••••••• I•••

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

Former SEC-registered adviser, based in New York, New York, reporting $66.5M of regulatory assets.

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

Last reported RAUM
$66.5M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-22%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 284149 · SEC 801-108197 · 11 filingsShow
CRD 284149SEC 801-108197First filing on the tape Jul 22, 2016, latest Mar 29, 2022IAPD
RAUM
$66.5M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$66.5M gross assets
History
11 filings and snapshots on the tape
RAUM$66.5M as of Mar 29, 2022
Mar 28, 2017$104M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 28, 20170 then
Employees (5.A)5 as of Mar 29, 2022
Mar 28, 20173 then
Private funds1 as of Mar 29, 2022
Mar 28, 20171 then
RAUM -22% over the last fiscal year-9.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2022; 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
$66.5MderivedRAUM 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
-22%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
$66.5M, 1 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$66.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$66.5M for 1 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• C•• F••• L•••Hedge Fund$66.5M1Jul 22, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••• B••••• F•••••• · Chief Executive Officer, Directorcontrol
        since 08/2013 · owns less than 5%
      • V•• N••••••• S•••••• · Directorcontrol
        since 08/2019 · owns less than 5%
      • S••••••• J•••••• J•••• · Chief Compliance Officer
        since 03/2017 · owns less than 5%
      Entity owners
      • A•••• ••• H••••••• L•••••• · Direct Owner
        direct · owns 75% or more
      • A•• I• I••••••••• H•••••••• L••• · Sole M••••••• Member
        indirect · owns F of A• H•••••••• H••••••• ••• L••
      • A• H•••••••• C••••••••• L••• · Owner, Shareholder
        indirect · owns 25% to 50% of H•••••••• H•••••••• L•••
      • A• H•••••••• H••••••• ••• L•• · Sole General Partner
        indirect · owns F of A• H•••••••• H•••••••• L•••
      • A• H•••••••• H•••••••• L••• · Owner, Shareholder
        indirect · owns 50% to 75% of H•••••••• H•••••••• L•••
      • A•• H•••••••• L••• · M••••••• Member
        indirect · owns F of A••••• A••••••• I• ••••••• L••
      • A•• A•••• C••• L•• · Owner, Sole Shareholder
        indirect · owns 75% or more of A••••• P•••••••• H••••••• I•• G•• L•••
      • A••••• A••••••• I• ••••••• L•• · Sole General Partner
        indirect · owns F of A••••• A••••••• I• •••• L•••
      • A••••• A••••••• I• •••• L••• · Sole General Partner
        indirect · owns F of A• H•••••••• C••••••••• L•••
      • A••••• A••••••• I• •••• L••• · Sole General Partners
        indirect · owns F of A•• I• I••••••••• H•••••••• L•••
      • A••••• A••••••• I•• L••• · General Partner
        indirect · owns F of A••••• I••••••••• F••• I•• L•••
      • A••••• A••••••• I•• L••• · General Partner
        indirect · owns F of A••••• O••••••• P••••••• •••••••• 8••• I•• L•••
      • A••••• G••••• M••••••••• L•• · Sole Member
        indirect · owns 75% or more of A•• A•••• C••• L•• · public reporting company
      • A••••• I••••••••• F••• I•• L••• · L•••••• Partner
        indirect · owns 25% to 50% of A•• I• I••••••••• H•••••••• L•••
      • A••••• I••••••••• F••• I•• L••• · L•••••• Partner
        indirect · owns 25% to 50% of A• H•••••••• C••••••••• L•••
      • A••••• O••••••• P••••••• •••••••• 8••• I•• L••• · L•••••• Partner
        indirect · owns 25% to 50% of A•• I• I••••••••• H•••••••• L•••
      • A••••• P•••••••• H••••••• I•• G•• L••• · General Partner
        indirect · owns F of A•• H•••••••• L•••
      • A•••• I•••••••• H••••••• L••• · Owner, Sole Shareholder
        indirect · owns 75% or more of A•••• (US) I•••••••• Holdings Ltd. · public reporting company
      • H•••••••• H•••••••• L••• · Owner, Sole Shareholder
        indirect · owns 75% or more of A•••• I•••••••• H••••••• L•••
      Related persons
      Schedule D 7.A
      • A•••• A••••••• I•••••••• C••••••
        real estaten
      • A•••• B•••••• L••••••
        real estaten
      • A•••• C•••••• M••••••••• L••
        pooled vehicle sponsorn
      • A•••• I•••••••• U• L••••••
        real estaten
      • A•••• M••••••• A••••• L••••••
        real estaten
      • A•••• S•••••••• I•••••••• C••••••
        real estaten
      • P•••••••• R••••••••• L••••••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 4
        Mar 30, 2021 to Mar 29, 2022
      • Assets in custody · $85.6M to $66.5M
        Mar 30, 2021 to Mar 29, 2022
      • Employees · 3 to 5
        Mar 30, 2021 to Mar 29, 2022
      • Discretionary RAUM · $85.6M to $66.5M
        Mar 30, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $85.6M to $66.5M
        Mar 30, 2021 to Mar 29, 2022
      • RAUM · $85.6M to $66.5M
        Mar 30, 2021 to Mar 29, 2022
      • Assets in custody · $96.4M to $85.6M
        Jan 6, 2021 to Mar 30, 2021
      • Discretionary RAUM · $96.4M to $85.6M
        Jan 6, 2021 to Mar 30, 2021
      • Pooled vehicle RAUM · $96.4M to $85.6M
        Jan 6, 2021 to Mar 30, 2021
      • RAUM · $96.4M to $85.6M
        Jan 6, 2021 to Mar 30, 2021
      • Assets in custody · $89.2M to $96.4M
        Sep 6, 2019 to Mar 19, 2020
      • Discretionary RAUM · $89.2M to $96.4M
        Sep 6, 2019 to Mar 19, 2020
      • Pooled vehicle RAUM · $89.2M to $96.4M
        Sep 6, 2019 to Mar 19, 2020
      • RAUM · $89.2M to $96.4M
        Sep 6, 2019 to Mar 19, 2020
      • Assets in custody · $0 to $89.2M
        Jun 21, 2018 to Mar 16, 2019
      • Discretionary RAUM · $98.3M to $89.2M
        Jun 21, 2018 to Mar 16, 2019
      • Pooled vehicle RAUM · $98.3M to $89.2M
        Jun 21, 2018 to Mar 16, 2019
      • RAUM · $98.3M to $89.2M
        Jun 21, 2018 to Mar 16, 2019
      • Discretionary RAUM · $96.2M to $98.3M
        Mar 28, 2018 to Jun 21, 2018
      • Pooled vehicle RAUM · $96.2M to $98.3M
        Mar 28, 2018 to Jun 21, 2018
      • RAUM · $96.2M to $98.3M
        Mar 28, 2018 to Jun 21, 2018
      • Pooled vehicle clients · unset to 1.0
        May 15, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        May 15, 2017 to Mar 28, 2018
      • Discretionary RAUM · $104M to $96.2M
        May 15, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 96161779.0
        May 15, 2017 to Mar 28, 2018
      • RAUM · $104M to $96.2M
        May 15, 2017 to Mar 28, 2018
      • Employees · 2 to 3
        Jul 22, 2016 to Mar 28, 2017
      • Discretionary RAUM · $77.4M to $104M
        Jul 22, 2016 to Mar 28, 2017
      • RAUM · $77.4M to $104M
        Jul 22, 2016 to Mar 28, 2017
      Signals
      3 dated events
      • ••• Locked
        Sep 6, 2019 · Control person joined · fact
      • ••• Locked
        Sep 6, 2019 · Control person left · inference
      • ••• Locked
        Jul 22, 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