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N••• C••••••• L•

Former SEC-registered adviserFormer SEC adviser1 private funds· Fairfield, New Jersey

Former SEC-registered adviser, based in Fairfield, New Jersey, reporting $419M of regulatory assets.

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

Last reported RAUM
$419M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-32%
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 287577 · SEC 801-109981 · 16 filingsShow
CRD 287577SEC 801-109981First filing on the tape Feb 3, 2017, latest Mar 19, 2024IAPD
RAUM
$419M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$419M gross assets
History
16 filings and snapshots on the tape
RAUM$419M as of Mar 19, 2024
Mar 27, 2018$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2024
Mar 27, 20180 then
Employees (5.A)5 as of Mar 19, 2024
Mar 27, 201810 then
Private funds1 as of Mar 19, 2024
Mar 27, 20181 then
RAUM -32% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2024; 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
$140MderivedRAUM 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
-32%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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$419M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••• C•••••• M••••• F•••• L•••Hedge Fund$419M36May 1, 2017
      C•••• M•• C••••• S••Hedge Fund$174M1Mar 30, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• J•••••• J••• · Limited Partnercontrol
        since 02/2020 · owns 25% to 50%
      • D••••• L••••• · Chief Compliance Officercontrol
        since 10/2019 · owns less than 5%
      • S••••• C••••••• L•••••• · Chief Executive Officer And Chief Investment Officercontrol
        since 08/2016 · owns less than 5%
      • Y•••• Q••• · Limited Partnercontrol
        since 02/2020 · owns 10% to 25%
      • S••••• C••••••• L•••••• · Managing Membercontrol
        since 08/2016 · owns 75% or more of N••• C••••••• L••
      Entity owners
      • N••• C••••••• L•• · Managing Partner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • N••• C•••••• F••• G•••••• 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 3
        Oct 13, 2023 to Mar 19, 2024
      • Advisory employees · 4 to 3
        Oct 13, 2023 to Mar 19, 2024
      • Pooled vehicle clients · 4 to 3
        Oct 13, 2023 to Mar 19, 2024
      • Custody of client assets · true to false
        Oct 13, 2023 to Mar 19, 2024
      • Employees · 7 to 5
        Oct 13, 2023 to Mar 19, 2024
      • Private funds · 2 to 1
        Oct 13, 2023 to Mar 19, 2024
      • Discretionary RAUM · $612M to $419M
        Oct 13, 2023 to Mar 19, 2024
      • Pooled vehicle RAUM · $612M to $419M
        Oct 13, 2023 to Mar 19, 2024
      • RAUM · $612M to $419M
        Oct 13, 2023 to Mar 19, 2024
      • HQ city · NEW YORK to FAIRFIELD
        Mar 23, 2023 to Oct 13, 2023
      • HQ state · NY to NJ
        Mar 23, 2023 to Oct 13, 2023
      • Discretionary RAUM · $739M to $612M
        Mar 30, 2022 to Mar 23, 2023
      • Pooled vehicle RAUM · $739M to $612M
        Mar 30, 2022 to Mar 23, 2023
      • RAUM · $739M to $612M
        Mar 30, 2022 to Mar 23, 2023
      • Accounts · 3 to 4
        Mar 26, 2021 to Mar 30, 2022
      • Advisory employees · 3 to 4
        Mar 26, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 3 to 4
        Mar 26, 2021 to Mar 30, 2022
      • Employees · 6 to 7
        Mar 26, 2021 to Mar 30, 2022
      • Private funds · 1 to 2
        Mar 26, 2021 to Mar 30, 2022
      • Discretionary RAUM · $667M to $739M
        Mar 26, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $667M to $739M
        Mar 26, 2021 to Mar 30, 2022
      • RAUM · $667M to $739M
        Mar 26, 2021 to Mar 30, 2022
      • Employees · 5 to 6
        Mar 24, 2021 to Mar 25, 2021
      • Discretionary RAUM · $167M to $667M
        Mar 24, 2021 to Mar 25, 2021
      • Pooled vehicle RAUM · $167M to $667M
        Mar 24, 2021 to Mar 25, 2021
      • RAUM · $167M to $667M
        Mar 24, 2021 to Mar 25, 2021
      • Discretionary RAUM · $99.0M to $167M
        Oct 16, 2019 to Apr 30, 2020
      • Pooled vehicle RAUM · $99.0M to $167M
        Oct 16, 2019 to Apr 30, 2020
      • RAUM · $99.0M to $167M
        Oct 16, 2019 to Apr 30, 2020
      • Advisory employees · 4 to 3
        Mar 28, 2019 to Oct 16, 2019
      • Employees · 8 to 5
        Mar 28, 2019 to Oct 16, 2019
      • Discretionary RAUM · $97.0M to $99.0M
        Mar 28, 2019 to Oct 16, 2019
      • Pooled vehicle RAUM · $97.0M to $99.0M
        Mar 28, 2019 to Oct 16, 2019
      • RAUM · $97.0M to $99.0M
        Mar 28, 2019 to Oct 16, 2019
      • Advisory employees · 5 to 4
        Jan 4, 2019 to Mar 28, 2019
      • Custody of client assets · false to true
        Jan 4, 2019 to Mar 28, 2019
      • Employees · 10 to 8
        Jan 4, 2019 to Mar 28, 2019
      • Discretionary RAUM · $102M to $97.0M
        Jan 4, 2019 to Mar 28, 2019
      • Pooled vehicle RAUM · $102M to $97.0M
        Jan 4, 2019 to Mar 28, 2019
      • RAUM · $102M to $97.0M
        Jan 4, 2019 to Mar 28, 2019
      Signals
      6 dated events
      • ••• Locked
        Mar 19, 2024 · RAUM change · derived
      • ••• Locked
        Mar 25, 2021 · RAUM change · derived
      • ••• Locked
        Jun 18, 2020 · Control person joined · fact
      • ••• Locked
        Jun 18, 2020 · Control person joined · fact
      • ••• Locked
        Jan 4, 2019 · Control person left · inference
      • ••• Locked
        Feb 3, 2017 · 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