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Former SEC-registered adviser

M••••••••• C•••••• S•• I•• L••

Former SEC-registered adviserNew York, New YorkCRD 290164SEC 801-111933IAPD
Latest filing Mar 26, 2020
First filing on the tape Sep 26, 2017 · 6 filings
RAUM
$58.0M
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
1
beyond the principal office
Private funds
6
$61.9M gross assets
History
6 filings and snapshots on the tape
RAUM$58.0M as of Mar 26, 2020
Mar 27, 2018$66.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 27, 20180 then
Employees (5.A)2 as of Mar 26, 2020
Mar 27, 20184 then
Private funds6 as of Mar 26, 2020
Mar 27, 20183 then
RAUM -11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
$8.3MderivedRAUM 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
-11%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
$16.3M, 3 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$58.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$16.3M for 3 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••••• C•••••• S•••••• F•••••• F•••• L•Hedge Fund$21.5M24May 2, 2014
      I••••••• M••••• F••• L•••Hedge Fund$15.8M17Mar 21, 2012
      M••••••••• C•••••• S•••••• F•••••• F••• I•• L•••Private Equity Fund$11.5M11Sep 26, 2017
      I••••••• M••••• F••• H•••••••• L••Hedge Fund$7.5M17Mar 26, 2020
      M••••••••• C•••••• O••••••• S•••••• F•••••• F••• I•• L•Private Equity Fund$1.3M4Jan 10, 2019
      I••••••• O••••••• S•••••••• F•••••• F••• L•••Hedge Fund$952,0982Jan 10, 2019
      M••••••••• C•••••• O••••••• S•••••• F•••••• F•••• L•••Hedge Fund$312,2541Jan 10, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• V••••••• S•••••• · President, General Counsel & Chief Compliance Officercontrol
        since 06/2017 · owns 10% to 25%
      • J••••• L••••••• · Chief Executive Officercontrol
        since 06/2017 · owns 5% to 10%
      • M••••••••• J•••• C•••••• · Chief Investment Officercontrol
        since 06/2017 · owns 50% to 75%
      • A•••••••• A•••• J••• · Director
        since 06/2017 · owns less than 5%
      • O••••••• J••• · Director
        since 06/2017 · owns less than 5%
      • R••••• A•••••• W• · Director
        since 06/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      • I••••••• G•• L••
        pooled vehicle sponsorn
      • M••••••••• C•••••• S• M••••••••• I•• L••
        pooled vehicle sponsorn
      • M••••••••• C•••••• S•••••• F•••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY2 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 29, 2019 to Mar 26, 2020
      • Assets in custody · $16.3M to $16.3M
        Mar 29, 2019 to Mar 26, 2020
      • Employees · 3 to 2
        Mar 29, 2019 to Mar 26, 2020
      • Discretionary RAUM · $65.4M to $58.0M
        Mar 29, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $65.4M to $58.0M
        Mar 29, 2019 to Mar 26, 2020
      • RAUM · $65.4M to $58.0M
        Mar 29, 2019 to Mar 26, 2020
      • Advisory employees · 4 to 3
        Jan 10, 2019 to Mar 29, 2019
      • Assets in custody · $18.8M to $16.3M
        Jan 10, 2019 to Mar 29, 2019
      • Employees · 4 to 3
        Jan 10, 2019 to Mar 29, 2019
      • Discretionary RAUM · $66.3M to $65.4M
        Jan 10, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $66.3M to $65.4M
        Jan 10, 2019 to Mar 29, 2019
      • RAUM · $66.3M to $65.4M
        Jan 10, 2019 to Mar 29, 2019
      • Private funds · 3 to 6
        Mar 27, 2018 to Jan 10, 2019
      • Accounts · 2 to 7
        Sep 28, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 7.0
        Sep 28, 2017 to Mar 27, 2018
      • Assets in custody · unset to 18827922.0
        Sep 28, 2017 to Mar 27, 2018
      • Custody of client assets · false to true
        Sep 28, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Sep 28, 2017 to Mar 27, 2018
      • Private funds · 1 to 3
        Sep 28, 2017 to Mar 27, 2018
      • Discretionary RAUM · $14.3M to $66.3M
        Sep 28, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 66319793.0
        Sep 28, 2017 to Mar 27, 2018
      • RAUM · $14.3M to $66.3M
        Sep 28, 2017 to Mar 27, 2018
      • Related adviser · true to false
        Sep 28, 2017 to Mar 27, 2018
      Signals
      1 dated events
      • M••••••••• C•••••• S•• I•• L•• filed its initial SEC registration (Form ADV)
        Sep 26, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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