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A••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $835M of regulatory assets.

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

As of 2021-11-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $835M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +0.0%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2021-11-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 5 Form ADV filings for this adviser, the latest 4.8 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 299492 · SEC 801-114381 · 5 filingsShow

CRD 299492SEC 801-114381First filing on the tape Nov 4, 2018, latest Nov 24, 2021IAPD

RAUM

$835M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$835M gross assets

History

5 filings and snapshots on the tape

RAUM$835M as of Jan 29, 2021

Mar 22, 2019$835M then

HNW client RAUM$0 as of Jan 29, 2021

Mar 22, 2019$0 then

State-registered IARs (5.B.3)0 as of Jan 29, 2021

Mar 22, 20190 then

Employees (5.A)2 as of Jan 29, 2021

Mar 22, 20191 then

Private funds1 as of Jan 29, 2021

Mar 22, 20191 then

RAUM +0.0% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Nov 24, 2021; 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: $835MderivedRAUM 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: +0.0%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
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$835M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
A••••• C•••••• P••••••• F••• I• L•••	Private Equity Fund	$835M	10	Mar 22, 2019

Owners and control persons

Schedule A and B, latest filing

S••• H•••• B••• · Managing Partner & Chief Compliance Officercontrol
since 02/2017 · owns less than 5%
S••• H•••• B••• · Member & Managing Partnercontrol
since 02/2017 · owns 75% or more of A••••• A•••• M••••••••• H••••••• L••

Entity owners

A••••• A•••• M••••••••• H••••••• L•• · Sole Member
direct · owns 75% or more

Related persons

Schedule D 7.A

A••••• C•••••• P••••••• G••••• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 1 to 2
Mar 23, 2020 to Jan 29, 2021
Employees · 1 to 2
Mar 23, 2020 to Jan 29, 2021
Accounts · unset to 1.0
Nov 4, 2018 to Mar 22, 2019
Pooled vehicle clients · 0 to 1
Nov 4, 2018 to Mar 22, 2019
Private funds · unset to 1
Nov 4, 2018 to Mar 22, 2019
Discretionary RAUM · unset to 835000000.0
Nov 4, 2018 to Mar 22, 2019
Non-discretionary RAUM · unset to 0.0
Nov 4, 2018 to Mar 22, 2019
Pooled vehicle RAUM · $0 to $835M
Nov 4, 2018 to Mar 22, 2019
RAUM · unset to 835000000.0
Nov 4, 2018 to Mar 22, 2019
Related bank · false to true
Nov 4, 2018 to Mar 22, 2019

Signals

1 dated events

••• Locked
Nov 4, 2018 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

A••••• M••••••••• L•• · Private Equity
shared crd · organization

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