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Former SEC-registered adviser

C•••••••• E•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 306020SEC 801-117797website IAPD

Latest filing Mar 28, 2024

First filing on the tape Nov 14, 2019 · 9 filings

SEC status approved since Dec 17, 2019

RAUM

$113M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

85%

$95.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$17.1M gross assets

History

9 filings and snapshots on the tape

RAUM$113M as of Mar 28, 2024

Mar 30, 2020$75.2M then

HNW client RAUM$95.8M as of Mar 28, 2024

Mar 30, 2020$56.2M then

State-registered IARs (5.B.3)0 as of Mar 28, 2024

Mar 30, 20200 then

Employees (5.A)2 as of Mar 28, 2024

Mar 30, 20204 then

Private funds1 as of Mar 28, 2024

Mar 30, 20201 then

RAUM -0.6% over the last fiscal year+18% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 28, 2024; 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: $37.6MderivedRAUM 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: -0.6%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $17.1M, 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

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

High-net-worth individuals$95.8M85%
Pooled investment vehicles$17.1M15%

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: $17.1M for 1 clientsreported
Compensation: % of AUM, fixed, 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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
I•••••• I••••••••• H••••••• L•	Hedge Fund	$17.1M	2	Nov 14, 2019

Owners and control persons

Schedule A and B, latest filing

M••••••••• J•••• D••••••• · Portfolio Managercontrol
since 05/2019 · owns 75% or more
V••••• K••••••• M•••• · Director Of Finance And Operations And Ccocontrol
since 09/2019 · owns less than 5%
M••••••••• J•••• D••••••• · Managing Membercontrol
since 05/2019 · owns 75% or more of C• G• L••
M••••••••• M•••••••• L••••••• · Trustee Of M••••••• L••••••• M•••••••• R•••••••• T••••
since 08/2019 · owns 10% to 25%

Entity owners

C• G• L•• · General Partner
direct · owns 75% or more
M••••••• L••••••• M•••••••• R•••••••• T•••• · Member
direct · owns 10% to 25%

Related persons

Schedule D 7.A

I•••••• I• 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 · $15.9M to $17.1M
Mar 30, 2023 to Mar 28, 2024
Discretionary RAUM · $114M to $113M
Mar 30, 2023 to Mar 28, 2024
HNW RAUM · $97.7M to $95.8M
Mar 30, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $15.9M to $17.1M
Mar 30, 2023 to Mar 28, 2024
RAUM · $114M to $113M
Mar 30, 2023 to Mar 28, 2024
Accounts · 4 to 3
Mar 29, 2022 to Mar 30, 2023
Advisory employees · 3 to 2
Mar 29, 2022 to Mar 30, 2023
Pooled vehicle clients · 2 to 1
Mar 29, 2022 to Mar 30, 2023
Assets in custody · $16.2M to $15.9M
Mar 29, 2022 to Mar 30, 2023
Employees · 3 to 2
Mar 29, 2022 to Mar 30, 2023
Discretionary RAUM · $116M to $114M
Mar 29, 2022 to Mar 30, 2023
HNW RAUM · $99.7M to $97.7M
Mar 29, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $16.2M to $15.9M
Mar 29, 2022 to Mar 30, 2023
RAUM · $116M to $114M
Mar 29, 2022 to Mar 30, 2023
Assets in custody · $17.9M to $16.2M
Mar 17, 2021 to Mar 29, 2022
Employees · 4 to 3
Mar 17, 2021 to Mar 29, 2022
Discretionary RAUM · $106M to $116M
Mar 17, 2021 to Mar 29, 2022
HNW RAUM · $87.9M to $99.7M
Mar 17, 2021 to Mar 29, 2022
Pooled vehicle RAUM · $17.9M to $16.2M
Mar 17, 2021 to Mar 29, 2022
RAUM · $106M to $116M
Mar 17, 2021 to Mar 29, 2022
Accounts · 3 to 4
Feb 15, 2021 to Mar 17, 2021
Assets in custody · $17.1M to $17.9M
Feb 15, 2021 to Mar 17, 2021
Discretionary RAUM · $69.5M to $106M
Feb 15, 2021 to Mar 17, 2021
HNW RAUM · $52.3M to $87.9M
Feb 15, 2021 to Mar 17, 2021
Pooled vehicle RAUM · $17.1M to $17.9M
Feb 15, 2021 to Mar 17, 2021
RAUM · $69.5M to $106M
Feb 15, 2021 to Mar 17, 2021
Assets in custody · $19.0M to $17.1M
Jun 30, 2020 to Feb 15, 2021
Discretionary RAUM · $75.2M to $69.5M
Jun 30, 2020 to Feb 15, 2021
HNW RAUM · $56.2M to $52.3M
Jun 30, 2020 to Feb 15, 2021
Pooled vehicle RAUM · $19.0M to $17.1M
Jun 30, 2020 to Feb 15, 2021
RAUM · $75.2M to $69.5M
Jun 30, 2020 to Feb 15, 2021
Accounts · 1 to 3
Dec 3, 2019 to Mar 30, 2020
Pooled vehicle clients · 1 to 2
Dec 3, 2019 to Mar 30, 2020
Assets in custody · $2.0M to $19.0M
Dec 3, 2019 to Mar 30, 2020
Other offices · 1 to 0
Dec 3, 2019 to Mar 30, 2020
Discretionary RAUM · $20.0M to $75.2M
Dec 3, 2019 to Mar 30, 2020
HNW RAUM · unset to 56230000.0
Dec 3, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $20.0M to $19.0M
Dec 3, 2019 to Mar 30, 2020
RAUM · $20.0M to $75.2M
Dec 3, 2019 to Mar 30, 2020

Signals

2 dated events

C•••••••• E•••••••• L• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $112.9M)
May 2, 2025 · Left the SEC roster · derived
C•••••••• E•••••••• L• filed its initial SEC registration (Form ADV)
Nov 14, 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