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R•••••••• A•••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser2 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $66.1M of regulatory assets.

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

Last reported RAUM
$66.1M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-41%
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 289508 · SEC 801-111645 · 7 filingsShow
CRD 289508SEC 801-111645First filing on the tape Aug 9, 2017, latest Mar 25, 2019IAPD
RAUM
$66.1M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$66.1M gross assets
History
7 filings and snapshots on the tape
RAUM$66.1M as of Mar 25, 2019
Mar 30, 2018$111M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2019
Mar 30, 20180 then
Employees (5.A)6 as of Mar 25, 2019
Mar 30, 20186 then
Private funds2 as of Mar 25, 2019
Mar 30, 20182 then
RAUM -41% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2019; 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
$33.1MderivedRAUM 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
-41%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
$111M, 2 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$66.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$111M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••••••• O••••••••• F••• L•Hedge Fund$44.0M17Mar 30, 2018
      R•••••••• S•• 1• L•Hedge Fund$22.1M1Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• W••••• G••••• · Chief Executive Officer, Limited Partnercontrol
        since 07/2017 · owns 75% or more
      • C••••••• W••••• P•••••• · Membercontrol
        since 04/2018 · owns F of R•••••••• A•••• M••••••••• G• L••
      • H•••••• W••••• G••••• · Managing Membercontrol
        since 08/2017 · owns 75% or more of R•••••••• A•••• M••••••••• G• L••
      • N••••• C••••••••• A••••••• · Chief Compliance Officer
        since 10/2017 · owns less than 5%
      Entity owners
      • R•••••••• A•••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • R•••••••• O••••••••• F••• G• L••
        bankpooled vehicle sponsory
      • R•••••••• S•• G• L••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $111M to $66.1M
        Mar 30, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $111M to $66.1M
        Mar 30, 2018 to Mar 25, 2019
      • RAUM · $111M to $66.1M
        Mar 30, 2018 to Mar 25, 2019
      • Pooled vehicle clients · unset to 2.0
        Jan 12, 2018 to Mar 30, 2018
      • Assets in custody · unset to 111450000.0
        Jan 12, 2018 to Mar 30, 2018
      • Custody of client assets · false to true
        Jan 12, 2018 to Mar 30, 2018
      • Financial planning clients · unset to 0
        Jan 12, 2018 to Mar 30, 2018
      • Other offices · 2 to 0
        Jan 12, 2018 to Mar 30, 2018
      • Private funds · unset to 2
        Jan 12, 2018 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 111450000.0
        Jan 12, 2018 to Mar 30, 2018
      • Related bank · false to true
        Jan 12, 2018 to Mar 30, 2018
      • Accounts · 0 to 2
        Aug 17, 2017 to Jan 12, 2018
      • Other offices · unset to 2.0
        Aug 17, 2017 to Jan 12, 2018
      • Discretionary RAUM · $0 to $111M
        Aug 17, 2017 to Jan 12, 2018
      • RAUM · $0 to $111M
        Aug 17, 2017 to Jan 12, 2018
      Signals
      3 dated events
      • ••• Locked
        Mar 25, 2019 · Control person joined · fact
      • ••• Locked
        Mar 25, 2019 · Control person left · inference
      • ••• Locked
        Aug 9, 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