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Y•••• S••••• P••••••• L•

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

Former SEC-registered adviser, based in New York, New York, reporting $146M of regulatory assets.

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

Last reported RAUM
$146M
Form ADV
RAUM change, 1 year
+5.6%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 26 Sep 2024, RAUM $138M to $146M (+5.6%) on the Form ADV filed 26 Sep 2024.

Every filed figure, and the identifiersCRD 304105 · SEC 801-121783 · 8 filingsShow
CRD 304105SEC 801-121783First filing on the tape Jun 17, 2021, latest Sep 26, 2024IAPD
RAUM
$146M
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
Not computed
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$146M gross assets
History
8 filings and snapshots on the tape

RAUM +5.6% over the last fiscal year · the tape starts Jun 17, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$146M as of Mar 27, 2024
Mar 30, 2022$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 30, 20220 then
Employees (5.A)4 as of Mar 27, 2024
Mar 30, 20224 then
Private funds1 as of Mar 27, 2024
Mar 30, 20221 then
RAUM +5.6% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 26, 2024; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$48.6MderivedRAUM 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
+5.6%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
Custody
$146M, 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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$146M100%
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
$146M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Y•••• S••••• M••••• F••• L•Hedge Fund$146M13May 23, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• J••••••• M•••••• · Chief Financial Officer, Chief Compliance Officercontrol
        since 01/2019 · owns less than 5%
      • H•• V•••••• C••• N••• · M••••••• M••••• O• Y•••• S••••• A••••••• L••control
        since 01/2019 · owns less than 5%
      • H•• V•••••• C••• N••• · Member And Managercontrol
        since 01/2019 · owns 75% or more of K••• F••••• L••
      • H•• V•••••• C••• N••• · Managing Membercontrol
        since 04/2019 · owns 75% or more of Y•••• S••••• P••••••• G• L••
      Entity owners
      • K••• F••••• L•• · M••••• O• Y•••• S••••• A••••••• L••
        direct · owns 75% or more
      • Y•••• S••••• P••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • Y•••• S••••• A••••••• 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 · $138M to $146M
        Mar 30, 2023 to Mar 27, 2024
      • Discretionary RAUM · $138M to $146M
        Mar 30, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $138M to $146M
        Mar 30, 2023 to Mar 27, 2024
      • RAUM · $138M to $146M
        Mar 30, 2023 to Mar 27, 2024
      • Assets in custody · $148M to $138M
        Nov 1, 2022 to Mar 30, 2023
      Full history · 13 changes
      • Discretionary RAUM · $148M to $138M
        Nov 1, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $148M to $138M
        Nov 1, 2022 to Mar 30, 2023
      • RAUM · $148M to $138M
        Nov 1, 2022 to Mar 30, 2023
      • Assets in custody · $167M to $148M
        Nov 23, 2021 to Mar 30, 2022
      • Discretionary RAUM · $167M to $148M
        Nov 23, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $167M to $148M
        Nov 23, 2021 to Mar 30, 2022
      • RAUM · $167M to $148M
        Nov 23, 2021 to Mar 30, 2022
      • Private funds · 2 to 1
        Jun 17, 2021 to Nov 23, 2021
      Signals
      2 dated events
      • ••• Locked
        Nov 23, 2021 · ria registration change · fact
      • ••• Locked
        Jun 17, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026