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Former SEC-registered adviser

C•••••• I•••••••• S••••••••• L••

Former SEC-registered adviserBala Cynwyd, PennsylvaniaCRD 299605SEC 801-114404IAPD
Latest filing Mar 14, 2019
First filing on the tape Nov 8, 2018 · 2 filings
RAUM
$12.7M
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
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$12.7M as of Mar 14, 2019
Nov 8, 2018$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2019
Nov 8, 20180 then
Employees (5.A)8 as of Mar 14, 2019
Nov 8, 20185 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 14, 2019; 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
$12.7MderivedRAUM 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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$12.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • S•••••• A•••••• J••• · Risk Manager And Portfolio Managercontrol
        since 10/2018 · owns less than 5%
      • S•••••••• M•••••••• A•• · Chief Operating Officercontrol
        since 10/2018 · owns less than 5%
      • W•••• D••••• D•••• · Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      • B•••••• E•••• M••••••• · Limited Partnercontrol
        since 03/2005 · owns 75% or more of E• C•• H•••••••• L•
      Entity owners
      • C•••••• C•••••• P•••••••• L• · Sole Member
        direct · owns 75% or more
      • E• C•• H•••••••• L•• · General Partner
        indirect · owns F of C•••••• C•••••• P•••••••• L•
      • E• C•• H•••••••• L• · Partner
        indirect · owns 50% to 75% of C•••••• C•••••• P•••••••• L•
      • J•• C•• H•••••••• L•• · General Partner
        indirect · owns F of C•••••• C•••••• P•••••••• L•
      • R• C•• H•••••••• L•• · General Partner
        indirect · owns F of C•••••• C•••••• P•••••••• L•
      Related persons
      Schedule D 7.A
      • C•• B• I••• L•
        pooled vehicle sponsorn
      • C•• B• I•• L•
        pooled vehicle sponsorn
      • C•• B• M••••••••• I•• L••
        investment advisern
      • C•• B• M••••••••• L••
        investment advisern
      • C•••••• • T•• T••••••• O••••••••• G•• L••
        pooled vehicle sponsorn
      • Bhz Capital Management, LP
        investment advisernRAUM $153M
      • C•••••• O•• R•••• C•••••• M••••••••• L••
        bankn
      • C•••••• O•• R•••• G••••• A•••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1
        Nov 8, 2018 to Mar 14, 2019
      • Employees · 5 to 8
        Nov 8, 2018 to Mar 14, 2019
      • Financial planning clients · unset to 0
        Nov 8, 2018 to Mar 14, 2019
      • Discretionary RAUM · $0 to $12.7M
        Nov 8, 2018 to Mar 14, 2019
      • RAUM · $0 to $12.7M
        Nov 8, 2018 to Mar 14, 2019
      Signals
      2 dated events
      • David Derek Wood (Chief Compliance Officer) appeared on Schedule A of C•••••• I•••••••• S••••••••• L••
        Mar 14, 2019 · Control person joined · fact
      • C•••••• I•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 8, 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