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Former SEC-registered adviser

D••••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 302029SEC 801-116716IAPD
Latest filing Mar 23, 2023
First filing on the tape May 1, 2019 · 11 filings
RAUM
$124M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
60%
$74.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$49.3M gross assets
History
11 filings and snapshots on the tape
RAUM$124M as of Mar 23, 2023
Mar 5, 2020$72.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2023
Mar 5, 20200 then
Employees (5.A)5 as of Mar 23, 2023
Mar 5, 20205 then
Private funds1 as of Mar 23, 2023
Mar 5, 20201 then
RAUM -14% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2023; 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
$2.0MderivedRAUM 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
-14%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$8.7M, 1 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
  • 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
  • Individuals$74.5M60%
  • Pooled investment vehicles$49.3M40%
Individual clients
59reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
62reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$8.7M for 1 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
      D••••• M••••• F•••• L•Hedge Fund$49.3M48Jul 24, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• A•••••• H••••••• · Member Of General Partner, Chief Investment Officercontrol
        since 02/2019 · owns 25% to 50%
      • C••••• P••••• A•••••• · Managing Member Of General Partner, Chairmancontrol
        since 02/2019 · owns 25% to 50%
      • D••••• G••••••• W•••••• · Member Of General Partner, Chief Compliance Officer, Portfolio Managercontrol
        since 02/2019 · owns 10% to 25%
      Entity owners
      • D••••• C•••••• P•••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • D••••• P••••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $11.5M to $8.7M
        Apr 27, 2022 to Mar 23, 2023
      • Discretionary RAUM · $144M to $124M
        Apr 27, 2022 to Mar 23, 2023
      • Individual RAUM · $83.7M to $74.5M
        Apr 27, 2022 to Mar 23, 2023
      • Pooled vehicle RAUM · $60.3M to $49.3M
        Apr 27, 2022 to Mar 23, 2023
      • RAUM · $144M to $124M
        Apr 27, 2022 to Mar 23, 2023
      • Accounts · 65 to 62
        Mar 26, 2021 to Mar 25, 2022
      • Individual clients · 62 to 59
        Mar 26, 2021 to Mar 25, 2022
      • Assets in custody · $0 to $11.5M
        Mar 26, 2021 to Mar 25, 2022
      • Discretionary RAUM · $109M to $144M
        Mar 26, 2021 to Mar 25, 2022
      • Individual RAUM · $80.9M to $83.7M
        Mar 26, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $28.3M to $60.3M
        Mar 26, 2021 to Mar 25, 2022
      • RAUM · $109M to $144M
        Mar 26, 2021 to Mar 25, 2022
      • Related bank · false to true
        Mar 26, 2021 to Mar 25, 2022
      • Accounts · 57 to 65
        Jun 5, 2020 to Mar 26, 2021
      • Advisory employees · 5 to 3
        Jun 5, 2020 to Mar 26, 2021
      • Individual clients · 55 to 62
        Jun 5, 2020 to Mar 26, 2021
      • Discretionary RAUM · $72.1M to $109M
        Jun 5, 2020 to Mar 26, 2021
      • Individual RAUM · $59.6M to $80.9M
        Jun 5, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $12.5M to $28.3M
        Jun 5, 2020 to Mar 26, 2021
      • RAUM · $72.1M to $109M
        Jun 5, 2020 to Mar 26, 2021
      • Discretionary RAUM · $64.2M to $72.1M
        Jul 24, 2019 to Mar 5, 2020
      • Individual RAUM · $57.0M to $59.6M
        Jul 24, 2019 to Mar 5, 2020
      • Pooled vehicle RAUM · $7.2M to $12.5M
        Jul 24, 2019 to Mar 5, 2020
      • RAUM · $64.2M to $72.1M
        Jul 24, 2019 to Mar 5, 2020
      • Accounts · unset to 57.0
        May 8, 2019 to Jul 24, 2019
      • Advisory employees · 3 to 5
        May 8, 2019 to Jul 24, 2019
      • Individual clients · unset to 55.0
        May 8, 2019 to Jul 24, 2019
      • Pooled vehicle clients · unset to 2.0
        May 8, 2019 to Jul 24, 2019
      • Assets in custody · unset to 0.0
        May 8, 2019 to Jul 24, 2019
      • Custody of client assets · false to true
        May 8, 2019 to Jul 24, 2019
      • Employees · 3 to 5
        May 8, 2019 to Jul 24, 2019
      • Private funds · unset to 1
        May 8, 2019 to Jul 24, 2019
      • Discretionary RAUM · unset to 64237966.0
        May 8, 2019 to Jul 24, 2019
      • Individual RAUM · unset to 57026466.0
        May 8, 2019 to Jul 24, 2019
      • Non-discretionary RAUM · unset to 0.0
        May 8, 2019 to Jul 24, 2019
      • Pooled vehicle RAUM · unset to 7211500.0
        May 8, 2019 to Jul 24, 2019
      • RAUM · unset to 64237966.0
        May 8, 2019 to Jul 24, 2019
      Signals
      1 dated events
      • D••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        May 1, 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