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A•••• I••••••••• A•••••••• L••

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

Former SEC-registered adviser, based in East Rutherford, New Jersey, reporting $165M of regulatory assets.

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

Last reported RAUM
$165M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
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
What we can say about this record

We hold 2 Form ADV filings for this adviser, the latest 6.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 288691 · SEC 801-117966 · 2 filingsShow
CRD 288691SEC 801-117966First filing on the tape Dec 18, 2019, latest Mar 30, 2020IAPD
RAUM
$165M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$117M gross assets
History
2 filings and snapshots on the tape
RAUM$165M as of Mar 30, 2020
Dec 18, 2019$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Dec 18, 20190 then
Employees (5.A)4 as of Mar 30, 2020
Dec 18, 20194 then
Private funds1 as of Mar 30, 2020
Dec 18, 20192 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2020; 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
$54.9MderivedRAUM 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
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 pooled vehiclesreportedItem 5.G
Custody
$41.4M, 1 clientsreportedItem 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
  • 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)
  • has custody of client securities (9.A.1.b)
  • 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$165M100%
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
$41.4M 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•••• U• L••••••••• L•Hedge Fund$117M25May 22, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• T•••••• D•••• · Chief Executive Officercontrol
        since 11/2013 · owns less than 5%
      • M••••••••• M•••••• M• · Chief Compliance Officer And Chief Operating Officercontrol
        since 11/2013 · owns less than 5%
      • S••••• L•••• A•••••• · Chief Investment Officercontrol
        since 11/2013 · owns less than 5%
      • K••••••• T•••••• D•••• · Manager And Member
        since 09/2019 · owns 50% to 75% of A•••• F•••• H•••••••• L••
      • S••••• L•••• A•••••• · Member
        since 09/2019 · owns 25% to 50% of A•••• F•••• H•••••••• L••
      Entity owners
      • A•••• F•••• H•••••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A•••• F•••• H•••••••• L••
        pooled vehicle sponsory
      • A•••• I••••••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 3
        Dec 18, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 1 to 3
        Dec 18, 2019 to Mar 30, 2020
      • Assets in custody · $46.3M to $41.4M
        Dec 18, 2019 to Mar 30, 2020
      • Private funds · 2 to 1
        Dec 18, 2019 to Mar 30, 2020
      • Discretionary RAUM · $115M to $165M
        Dec 18, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $115M to $165M
        Dec 18, 2019 to Mar 30, 2020
      • RAUM · $115M to $165M
        Dec 18, 2019 to Mar 30, 2020
      Signals
      2 dated events
      • ••• Locked
        Mar 30, 2020 · ria registration change · fact
      • ••• Locked
        Dec 18, 2019 · 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