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I••••••••• L••

Former SEC-registered adviserFormer SEC adviser2 private funds· Summit, New Jersey

Former SEC-registered adviser, based in Summit, New Jersey, reporting $30.6M of regulatory assets.

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

Last reported RAUM
$30.6M
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 1 Form ADV filing for this adviser, the latest 8.1 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 290169 · SEC 801-114208 · 1 filingsShow
CRD 290169SEC 801-114208First filing on the tape Sep 27, 2018, latest Sep 27, 2018IAPD
RAUM
$30.6M
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$61.2M gross assets
History
1 filings and snapshots on the tape
RAUM: $30.6M
HNW client RAUM: $0
State-registered IARs (5.B.3): 0
Employees (5.A): 9
Private funds: 2
Practice profile
derived from the filing of Sep 27, 2018; 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
$15.3MderivedRAUM 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
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
$30.6M, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$30.6M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$30.6M 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• W••••• M••••• F••• L•••Hedge Fund$30.6M20Sep 25, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• S•••••••• · Chief Technology Officercontrol
        since 10/2015 · owns less than 5%
      • R••••••••• R•••••• S•••• · Chief Executive Officercontrol
        since 12/2014 · owns 50% to 75%
      • R••••••••• M•••• C•••• · Chief Financial Officer, Chief Operating Officer And Chief Compliance Officercontrol
        since 12/2016 · owns less than 5%
      • K••••••• J•••••••• J•••• · Membercontrol
        since 03/2015 · owns 25% to 50% of I••• L••
      • K••••••• J•••••• T••••• · Membercontrol
        since 03/2015 · owns 25% to 50% of I••• L••
      • K••••••• S•••••• B•••• · Membercontrol
        since 03/2015 · owns 25% to 50% of I••• L••
      Entity owners
      • I••• L•• · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • C•• M••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • ••• Locked
        Sep 27, 2018 · 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