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Former SEC-registered adviser

S•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 286222SEC 801-112547IAPD
Latest filing Jan 28, 2022
First filing on the tape Jan 31, 2018 · 7 filings
RAUM
$283M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$283M as of Jan 28, 2022
Jan 30, 2019$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 28, 2022
Jan 30, 20190 then
Employees (5.A)2 as of Jan 28, 2022
Jan 30, 20192 then
Private funds: no history
RAUM +37% over the last fiscal year+32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 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
$142MderivedRAUM 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
+37%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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$283M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• E••••• C•••••• · Chief Compliance Officer, Managing Membercontrol
        since 06/2016 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Feb 4, 2021 to Jan 28, 2022
      • Employees · 3 to 2
        Feb 4, 2021 to Jan 28, 2022
      • Discretionary RAUM · $206M to $283M
        Feb 4, 2021 to Jan 28, 2022
      • Pooled vehicle RAUM · $206M to $283M
        Feb 4, 2021 to Jan 28, 2022
      • RAUM · $206M to $283M
        Feb 4, 2021 to Jan 28, 2022
      • Advisory employees · 2 to 3
        Feb 19, 2020 to Feb 4, 2021
      • Employees · 2 to 3
        Feb 19, 2020 to Feb 4, 2021
      • Discretionary RAUM · $92.6M to $206M
        Feb 19, 2020 to Feb 4, 2021
      • Pooled vehicle RAUM · $92.6M to $206M
        Feb 19, 2020 to Feb 4, 2021
      • RAUM · $92.6M to $206M
        Feb 19, 2020 to Feb 4, 2021
      • Discretionary RAUM · $123M to $92.6M
        Mar 5, 2019 to Feb 19, 2020
      • Pooled vehicle RAUM · $123M to $92.6M
        Mar 5, 2019 to Feb 19, 2020
      • RAUM · $123M to $92.6M
        Mar 5, 2019 to Feb 19, 2020
      • Accounts · 1 to 2
        Mar 4, 2019 to Mar 5, 2019
      • Pooled vehicle clients · 1 to 2
        Mar 4, 2019 to Mar 5, 2019
      • Discretionary RAUM · $176M to $123M
        Jan 31, 2018 to Jan 30, 2019
      • Pooled vehicle RAUM · $176M to $123M
        Jan 31, 2018 to Jan 30, 2019
      • RAUM · $176M to $123M
        Jan 31, 2018 to Jan 30, 2019
      Signals
      2 dated events
      • ••• Locked
        Feb 4, 2021 · RAUM change · derived
      • ••• Locked
        Jan 31, 2018 · 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