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T•••• R••• C••••••• L•••

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

Former SEC-registered adviser, based in New York, New York, reporting $31.7M of regulatory assets.

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

Last reported RAUM
$31.7M
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 4 Form ADV filings for this adviser, the latest 6.6 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 301569 · SEC 801-116811 · 4 filingsShow
CRD 301569SEC 801-116811First filing on the tape May 17, 2019, latest Mar 25, 2020IAPD
RAUM
$31.7M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$31.7M gross assets
History
4 filings and snapshots on the tape
RAUM$31.7M as of Mar 25, 2020
May 17, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2020
May 17, 20190 then
Employees (5.A)4 as of Mar 25, 2020
May 17, 20193 then
Private funds1 as of Mar 25, 2020
May 17, 20191 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 25, 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
$10.6MderivedRAUM 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
$31.7M, 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)
  • 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)
  • 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$31.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$31.7M 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• R••• C•••••• M••••• F•••• L•••Hedge Fund$31.7M13May 17, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• C••••• J••• · Chief Compliance Officercontrol
        since 11/2018 · owns less than 5%
      • G••••••• K••••• J••••• · Partnercontrol
        since 08/2018 · owns 25% to 50%
      • W•••• J••••• P••• · Partnercontrol
        since 08/2018 · owns 25% to 50%
      • G••••••• K••••• J••••• · Ownercontrol
        since 08/2018 · owns 50% to 75% of T•••• R••• C•••••• M•••••••• G• L••
      • W•••• J••••• P••• · Ownercontrol
        since 08/2018 · owns 50% to 75% of T•••• R••• C•••••• M•••••••• G• L••
      Entity owners
      • T•••• R••• C•••••• M•••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • T•••• R••• C•••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $28.3M to $31.7M
        Oct 14, 2019 to Mar 25, 2020
      • Discretionary RAUM · $28.3M to $31.7M
        Oct 14, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $28.3M to $31.7M
        Oct 14, 2019 to Mar 25, 2020
      • RAUM · $28.3M to $31.7M
        Oct 14, 2019 to Mar 25, 2020
      • Accounts · 0 to 3
        May 20, 2019 to Oct 14, 2019
      • Advisory employees · 2 to 3
        May 20, 2019 to Oct 14, 2019
      • Assets in custody · unset to 28300000.0
        May 20, 2019 to Oct 14, 2019
      • Custody of client assets · false to true
        May 20, 2019 to Oct 14, 2019
      • Employees · 3 to 4
        May 20, 2019 to Oct 14, 2019
      • Discretionary RAUM · $0 to $28.3M
        May 20, 2019 to Oct 14, 2019
      • Pooled vehicle RAUM · $0 to $28.3M
        May 20, 2019 to Oct 14, 2019
      • RAUM · $0 to $28.3M
        May 20, 2019 to Oct 14, 2019
      Signals
      1 dated events
      • ••• Locked
        May 17, 2019 · 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