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Former SEC-registered adviser

A••••• C•••••• L•••••• P•••••••••

Former SEC-registered adviserOrinda, CaliforniaCRD 290195SEC 801-112141IAPD
Latest filing Mar 28, 2018
First filing on the tape Nov 9, 2017 · 3 filings
RAUM
$2.2B
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
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$1.3B gross assets
History
3 filings and snapshots on the tape
RAUM$2.2B as of Mar 28, 2018
Nov 9, 2017$2.5B then
HNW client RAUM$0 as of Mar 28, 2018
Nov 9, 2017$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Nov 9, 20170 then
Employees (5.A)0 as of Mar 28, 2018
Nov 9, 20170 then
Private funds5 as of Mar 28, 2018
Nov 9, 20177 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 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
$222MderivedRAUM 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
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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.1B, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.2B99%
  • Banks and thrifts$21.8M1.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1.1B 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
      A••••• P••••••• F••• L•Hedge Fund$505M16Mar 30, 2012
      A••••• W••••• F••• L•Hedge Fund$380M2Mar 30, 2012
      A••••• C• F••• L•Hedge Fund$204M2Mar 17, 2014
      A••••• P••••••• F•••• L•••Hedge Fund$202M16Mar 30, 2012
      A••••• P••••••• F••• I• L•Hedge Fund$9.9M8Mar 30, 2012
      A••••• A• F••• L•Hedge Fund$4.4M2Feb 4, 2015
      A••••• L••••• M••••• F•••• L•••Hedge Fund$25,4501Mar 24, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• M••••••• P••• · Managing Member (Of A••••• Capital, LLC, The General Partner)control
        since 04/1999 · owns 75% or more
      • S•••••• R•••••• A••••• · Director Of Operations (Of A••••• Capital, LLC, The General Partner) And Chief Compliance Officercontrol
        since 01/2011 · owns less than 5%
      • S•••••• B•••••••• D•••• · Chief Operating Officer And Chief Financial Officer (Of A••••• Capital, LLC, The General Partner)control
        since 09/2001 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list A••••• C•••••• L•••••• P••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA23 employees
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 10
        Nov 9, 2017 to Mar 23, 2018
      • Pooled vehicle clients · 12 to 9
        Nov 9, 2017 to Mar 23, 2018
      • Assets in custody · $1.2B to $1.1B
        Nov 9, 2017 to Mar 23, 2018
      • Other offices · 0 to 1
        Nov 9, 2017 to Mar 23, 2018
      • Private funds · 7 to 5
        Nov 9, 2017 to Mar 23, 2018
      • Discretionary RAUM · $2.5B to $2.2B
        Nov 9, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · $2.5B to $2.2B
        Nov 9, 2017 to Mar 23, 2018
      • RAUM · $2.5B to $2.2B
        Nov 9, 2017 to Mar 23, 2018
      Signals
      1 dated events
      • A••••• C•••••• L•••••• P••••••••• filed its initial SEC registration (Form ADV)
        Nov 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