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Former SEC-registered adviser

Q••••••••• T••••••••• L••

Former SEC-registered adviserWhite Plains, New YorkCRD 289551SEC 801-114820IAPD
Latest filing Mar 13, 2023
First filing on the tape Feb 11, 2019 · 6 filings
RAUM
$333M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$333M as of Mar 13, 2023
Feb 7, 2020$263M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2023
Feb 7, 20200 then
Employees (5.A)3 as of Mar 13, 2023
Feb 7, 20204 then
Private funds: no history
RAUM -0.1% over the last fiscal year+8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2023; 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
$167MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-0.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$333M100%
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
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
      • P•••• R•• · Chief Compliance Officer, Managing Membercontrol
        since 08/2016 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $334M to $333M
        Mar 4, 2022 to Mar 13, 2023
      • Pooled vehicle RAUM · $334M to $333M
        Mar 4, 2022 to Mar 13, 2023
      • RAUM · $334M to $333M
        Mar 4, 2022 to Mar 13, 2023
      • Accounts · 1 to 2
        Mar 5, 2021 to Mar 4, 2022
      • Advisory employees · 4 to 3
        Mar 5, 2021 to Mar 4, 2022
      • Pooled vehicle clients · 1 to 2
        Mar 5, 2021 to Mar 4, 2022
      • Employees · 4 to 3
        Mar 5, 2021 to Mar 4, 2022
      • Other offices · 0 to 1
        Mar 5, 2021 to Mar 4, 2022
      • Discretionary RAUM · $74.8M to $334M
        Mar 5, 2021 to Mar 4, 2022
      • Pooled vehicle RAUM · $74.8M to $334M
        Mar 5, 2021 to Mar 4, 2022
      • RAUM · $74.8M to $334M
        Mar 5, 2021 to Mar 4, 2022
      • Accounts · 2 to 1
        Feb 7, 2020 to Mar 5, 2021
      • Pooled vehicle clients · 2 to 1
        Feb 7, 2020 to Mar 5, 2021
      • Discretionary RAUM · $263M to $74.8M
        Feb 7, 2020 to Mar 5, 2021
      • Pooled vehicle RAUM · $263M to $74.8M
        Feb 7, 2020 to Mar 5, 2021
      • RAUM · $263M to $74.8M
        Feb 7, 2020 to Mar 5, 2021
      • Accounts · 1 to 2
        Feb 12, 2019 to Feb 7, 2020
      • Advisory employees · 5 to 4
        Feb 12, 2019 to Feb 7, 2020
      • Pooled vehicle clients · 1 to 2
        Feb 12, 2019 to Feb 7, 2020
      • Employees · 5 to 4
        Feb 12, 2019 to Feb 7, 2020
      • Discretionary RAUM · $175M to $263M
        Feb 12, 2019 to Feb 7, 2020
      • Pooled vehicle RAUM · $175M to $263M
        Feb 12, 2019 to Feb 7, 2020
      • RAUM · $175M to $263M
        Feb 12, 2019 to Feb 7, 2020
      Signals
      3 dated events
      • Q••••••••• T••••••••• L•• reported RAUM $333.6M, up 346% from $74.8M (2021-03-05 to 2022-03-04)
        Mar 4, 2022 · RAUM change · derived
      • Q••••••••• T••••••••• L•• reported RAUM $74.8M, down 72% from $262.7M (2020-02-07 to 2021-03-05)
        Mar 5, 2021 · RAUM change · derived
      • Q••••••••• T••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 11, 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