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Former SEC-registered adviser

F•••• H••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 306048SEC 801-117714IAPD
Latest filing Aug 8, 2023
First filing on the tape Nov 1, 2019 · 13 filings
RAUM
$652M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$20.3M gross assets
History
13 filings and snapshots on the tape
RAUM$652M as of Mar 22, 2023
Mar 26, 2020$605M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2023
Mar 26, 20200 then
Employees (5.A)7 as of Mar 22, 2023
Mar 26, 20206 then
Private funds3 as of Mar 22, 2023
Mar 26, 20203 then
RAUM -13% over the last fiscal year+2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 8, 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
$130MderivedRAUM 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
-13%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
$13.5M, 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$652M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$13.5M 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••• H••• C•• M•••••• L•no longer reportedHedge Fund$173M1Mar 29, 2021
      F•••• H••• M••••• F••• L••Hedge Fund$13.5M3Mar 26, 2020
      F•••• H••• P••••••• L•Hedge Fund$4.2M3Mar 26, 2020
      F•••• H••• O••••••• F••• L••Hedge Fund$2.6M9Mar 26, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• S••••• P•••••• · Founder And Chief Investment Officercontrol
        since 07/2019 · owns 75% or more
      • K••••••• B••••• A••••• · Chief Compliance Officer, Chief Financial Officer, Chief Operating Officercontrol
        since 07/2019 · owns less than 5%
      • C•••••• N••• · Trusteecontrol
        since 11/2019 · owns F of T•• N••••• T••••
      • C•••••• N••••• · Trusteecontrol
        since 11/2019 · owns F of T•• N••••• T••••
      • C•••••• S••••• P•••••• · Managing Membercontrol
        since 07/2019 · owns 75% or more of F•••• H••• C•••••• M••••••••• G• L••
      Entity owners
      • F•••• H••• C•••••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      • T•• N••••• T•••• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • F•••• H••• F••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 5
        Apr 26, 2022 to Mar 22, 2023
      • Assets in custody · $14.6M to $13.5M
        Apr 26, 2022 to Mar 22, 2023
      • Employees · 6 to 7
        Apr 26, 2022 to Mar 22, 2023
      • Discretionary RAUM · $748M to $652M
        Apr 26, 2022 to Mar 22, 2023
      • Pooled vehicle RAUM · $748M to $652M
        Apr 26, 2022 to Mar 22, 2023
      • RAUM · $748M to $652M
        Apr 26, 2022 to Mar 22, 2023
      • Accounts · 4 to 5
        May 25, 2021 to Mar 29, 2022
      • Pooled vehicle clients · 4 to 5
        May 25, 2021 to Mar 29, 2022
      • Assets in custody · $136M to $14.6M
        May 25, 2021 to Mar 29, 2022
      • Employees · 7 to 6
        May 25, 2021 to Mar 29, 2022
      • Private funds · 4 to 3
        May 25, 2021 to Mar 29, 2022
      • Discretionary RAUM · $930M to $748M
        May 25, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $930M to $748M
        May 25, 2021 to Mar 29, 2022
      • RAUM · $930M to $748M
        May 25, 2021 to Mar 29, 2022
      • Accounts · 5 to 4
        Sep 24, 2020 to Mar 29, 2021
      • Advisory employees · 3 to 4
        Sep 24, 2020 to Mar 29, 2021
      • Pooled vehicle clients · 5 to 4
        Sep 24, 2020 to Mar 29, 2021
      • Assets in custody · $123M to $136M
        Sep 24, 2020 to Mar 29, 2021
      • Employees · 6 to 7
        Sep 24, 2020 to Mar 29, 2021
      • Private funds · 3 to 4
        Sep 24, 2020 to Mar 29, 2021
      • Discretionary RAUM · $715M to $930M
        Sep 24, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $715M to $930M
        Sep 24, 2020 to Mar 29, 2021
      • RAUM · $715M to $930M
        Sep 24, 2020 to Mar 29, 2021
      • Accounts · 3 to 5
        May 27, 2020 to Sep 24, 2020
      • Pooled vehicle clients · 3 to 5
        May 27, 2020 to Sep 24, 2020
      • Assets in custody · $131M to $123M
        May 27, 2020 to Sep 24, 2020
      • Discretionary RAUM · $605M to $715M
        May 27, 2020 to Sep 24, 2020
      • Pooled vehicle RAUM · $605M to $715M
        May 27, 2020 to Sep 24, 2020
      • RAUM · $605M to $715M
        May 27, 2020 to Sep 24, 2020
      • Accounts · unset to 3.0
        Nov 1, 2019 to Mar 26, 2020
      • Advisory employees · 2 to 3
        Nov 1, 2019 to Mar 26, 2020
      • Advisory activities · 2 to 1
        Nov 1, 2019 to Mar 26, 2020
      • Pooled vehicle clients · unset to 3.0
        Nov 1, 2019 to Mar 26, 2020
      • Assets in custody · unset to 131000000.0
        Nov 1, 2019 to Mar 26, 2020
      • Custody of client assets · false to true
        Nov 1, 2019 to Mar 26, 2020
      • Employees · 5 to 6
        Nov 1, 2019 to Mar 26, 2020
      • Financial planning clients · unset to 0
        Nov 1, 2019 to Mar 26, 2020
      • Private funds · unset to 3
        Nov 1, 2019 to Mar 26, 2020
      • Discretionary RAUM · unset to 605000000.0
        Nov 1, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · unset to 0.0
        Nov 1, 2019 to Mar 26, 2020
      Signals
      4 dated events
      • Nina C••••• (Trustee) appeared on Schedule A of F•••• H••• C•••••• M••••••••• L•
        May 18, 2021 · Control person joined · fact
      • N••••• C••••• (Trustee) appeared on Schedule A of F•••• H••• C•••••• M••••••••• L•
        May 18, 2021 · Control person joined · fact
      • F•••• H••• C•••••• M••••••••• L• reported RAUM $930.0M, up 30% from $715.0M (2020-09-24 to 2021-03-29)
        Mar 29, 2021 · RAUM change · derived
      • F•••• H••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Nov 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