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RIA Intelligence

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P•••••• T••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds

Former SEC-registered adviser, reporting $247M of regulatory assets.

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

Last reported RAUM
$247M
Form ADV
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. No dated change on record yet.

Every filed figure, and the identifiersCRD 306805 · SEC 801-117881 · 3 filingsShow
CRD 306805SEC 801-117881First filing on the tape Nov 30, 2019, latest Mar 18, 2021IAPD
RAUM
$247M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$247M gross assets
History
3 filings and snapshots on the tape

Filed figures over time · the tape starts Nov 30, 2019

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$247M as of Mar 18, 2021
Nov 30, 2019$192M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2021
Nov 30, 20190 then
Employees (5.A)3 as of Mar 18, 2021
Nov 30, 20194 then
Private funds1 as of Mar 18, 2021
Nov 30, 20191 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 18, 2021; 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
$247MderivedRAUM 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
unknownderivedbetween 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
$247M, 2 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$247M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$247M for 2 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
      P•••••• M••••••••• A••••••••• A•Hedge Fund$247M11Nov 30, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• J•••••••• T• · Ccocontrol
        since 01/2019 · owns less than 5%
      • L••• Y••••• · Managercontrol
        since 01/2019 · owns less than 5%
      • W•• J••••••• · Managercontrol
        since 01/2019 · owns less than 5%
      • L••• Y••••• · Member And Managercontrol
        since 01/2014 · owns 50% to 75% of S••••••• C•••••• M••••••••• L••
      • W•• J••••••• · Member And Managercontrol
        since 01/2014 · owns 50% to 75% of S••••••• C•••••• M••••••••• L••
      Entity owners
      • S••••••• C•••••• M••••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Jan 13, 2020 to Mar 18, 2021
      • Assets in custody · $192M to $247M
        Jan 13, 2020 to Mar 18, 2021
      • Employees · 4 to 3
        Jan 13, 2020 to Mar 18, 2021
      • Discretionary RAUM · $192M to $247M
        Jan 13, 2020 to Mar 18, 2021
      • Pooled vehicle RAUM · $192M to $247M
        Jan 13, 2020 to Mar 18, 2021
      Full history · 7 changes
      • RAUM · $192M to $247M
        Jan 13, 2020 to Mar 18, 2021
      • Advisory activities · 2 to 1
        Nov 30, 2019 to Jan 13, 2020
      Signals
      1 dated events
      • ••• Locked
        Nov 30, 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
      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