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V••••••• C•••••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser2 private funds· Rye Brook, New York

Former SEC-registered adviser, based in Rye Brook, New York, reporting $232M of regulatory assets.

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

Last reported RAUM
$232M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-23%
Form ADV, consecutive annual filings
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
Why this matters
Every filed figure, and the identifiersCRD 304280 · SEC 801-116923 · 10 filingsShow
CRD 304280SEC 801-116923First filing on the tape Jun 7, 2019, latest Jun 2, 2021IAPD
RAUM
$232M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$232M gross assets
History
10 filings and snapshots on the tape
RAUM$232M as of Mar 31, 2021
Mar 30, 2020$299M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20200 then
Employees (5.A)5 as of Mar 31, 2021
Mar 30, 20206 then
Private funds2 as of Mar 31, 2021
Mar 30, 20202 then
RAUM -23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 2, 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
$57.9MderivedRAUM 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
-23%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • 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$232M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V•• G••••• M•••• M••••• F••• L•Hedge Fund$228M10Feb 27, 2014
      V•• D•••••• M••••••••• F••• L•Hedge Fund$4.0M1Aug 24, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • N•••• F•••••• J•••• · Chief Compliance Officercontrol
        since 04/2020 · owns less than 5%
      • V•••••••• M•••• · Chief Investment Officercontrol
        since 05/2019 · owns less than 5%
      • V•••••••• M•••• · Managing Membercontrol
        since 05/2019 · owns 75% or more of V••••••• F•••••• L••
      • V•••••••• M•••• · Managing Membercontrol
        since 05/2019 · owns 75% or more of V••••••• G•• L••
      Entity owners
      • V••••••• F•••••• L•• · Limited Partner
        direct · owns 75% or more
      • V••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • V•• D•••••• M••••••••• F••• G• L••
        pooled vehicle sponsorn
      • V•• G••••• M•••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Aug 25, 2020 to Mar 31, 2021
      • Advisory employees · 5 to 4
        Aug 25, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 5 to 4
        Aug 25, 2020 to Mar 31, 2021
      • Assets in custody · $100M to $0
        Aug 25, 2020 to Mar 31, 2021
      • Employees · 6 to 5
        Aug 25, 2020 to Mar 31, 2021
      • Discretionary RAUM · $299M to $232M
        Aug 25, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $299M to $232M
        Aug 25, 2020 to Mar 31, 2021
      • RAUM · $299M to $232M
        Aug 25, 2020 to Mar 31, 2021
      • HQ city · NEW YORK to RYE BROOK
        Jun 25, 2020 to Aug 25, 2020
      • Assets in custody · $874M to $100M
        Oct 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $874M to $299M
        Oct 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $874M to $299M
        Oct 30, 2019 to Mar 30, 2020
      • RAUM · $874M to $299M
        Oct 30, 2019 to Mar 30, 2020
      • Accounts · 0 to 5
        Jul 18, 2019 to Oct 30, 2019
      • Advisory employees · 4 to 5
        Jul 18, 2019 to Oct 30, 2019
      • Pooled vehicle clients · 0 to 5
        Jul 18, 2019 to Oct 30, 2019
      • Assets in custody · $0 to $874M
        Jul 18, 2019 to Oct 30, 2019
      • Custody of client assets · false to true
        Jul 18, 2019 to Oct 30, 2019
      • Employees · 5 to 6
        Jul 18, 2019 to Oct 30, 2019
      • Private funds · unset to 2
        Jul 18, 2019 to Oct 30, 2019
      • Discretionary RAUM · $0 to $874M
        Jul 18, 2019 to Oct 30, 2019
      • Pooled vehicle RAUM · $0 to $874M
        Jul 18, 2019 to Oct 30, 2019
      • RAUM · $0 to $874M
        Jul 18, 2019 to Oct 30, 2019
      • Accounts · 5 to 0
        Jun 7, 2019 to Jun 12, 2019
      • Pooled vehicle clients · 5 to 0
        Jun 7, 2019 to Jun 12, 2019
      • Assets in custody · $836M to $0
        Jun 7, 2019 to Jun 12, 2019
      • Custody of client assets · true to false
        Jun 7, 2019 to Jun 12, 2019
      • Private funds · 2 to unset
        Jun 7, 2019 to Jun 12, 2019
      • Discretionary RAUM · $852M to $0
        Jun 7, 2019 to Jun 12, 2019
      • Pooled vehicle RAUM · $852M to $0
        Jun 7, 2019 to Jun 12, 2019
      • RAUM · $852M to $0
        Jun 7, 2019 to Jun 12, 2019
      Signals
      4 dated events
      • ••• Locked
        Apr 22, 2020 · Control person joined · fact
      • ••• Locked
        Mar 30, 2020 · RAUM change · derived
      • ••• Locked
        Jun 12, 2019 · RAUM change · derived
      • ••• Locked
        Jun 7, 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