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Former SEC-registered adviser

N•••••••• A•••• M••••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 307553SEC 801-118199IAPD
Latest filing Mar 31, 2023
First filing on the tape Feb 7, 2020 · 5 filings
RAUM
$13.1M
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
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$13.1M gross assets
History
5 filings and snapshots on the tape
RAUM$13.1M as of Mar 31, 2023
Mar 31, 2021$10.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20210 then
Employees (5.A)11 as of Mar 31, 2023
Mar 31, 20219 then
Private funds1 as of Mar 31, 2023
Mar 31, 20211 then
RAUM -24% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$6.6MderivedRAUM 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
-24%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
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
  • 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
  • Pooled investment vehicles$13.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• F••• U• M••••• F••• L•Hedge Fund$13.1M0Feb 7, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• B••••••• M•••••• · Chief Executive Officercontrol
        since 12/2019 · owns less than 5%
      • C••••• K•••••• S••• · Chief Investment Officercontrol
        since 12/2019 · owns less than 5%
      • F••••••• J•••••••• A••• · Directorcontrol
        since 01/2022 · owns less than 5%
      • M••••••••• T••••••• D• · Chief Financial Officercontrol
        since 12/2019 · owns less than 5%
      • M•••••• C••••• L•••• · General Counsel, Chief Compliance Officercontrol
        since 12/2019 · owns less than 5%
      Entity owners
      • C•••• C•••••• M••••••••• G•••• I•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 12 to 11
        Mar 16, 2022 to Mar 31, 2023
      • Discretionary RAUM · $17.3M to $13.1M
        Mar 16, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $17.3M to $13.1M
        Mar 16, 2022 to Mar 31, 2023
      • RAUM · $17.3M to $13.1M
        Mar 16, 2022 to Mar 31, 2023
      • Advisory employees · 5 to 6
        Mar 31, 2021 to Mar 16, 2022
      • Pooled vehicle clients · 3 to 2
        Mar 31, 2021 to Mar 16, 2022
      • Employees · 9 to 12
        Mar 31, 2021 to Mar 16, 2022
      • Discretionary RAUM · $10.3M to $17.3M
        Mar 31, 2021 to Mar 16, 2022
      • Pooled vehicle RAUM · $10.3M to $17.3M
        Mar 31, 2021 to Mar 16, 2022
      • RAUM · $10.3M to $17.3M
        Mar 31, 2021 to Mar 16, 2022
      • Accounts · unset to 2.0
        Feb 8, 2020 to Mar 31, 2021
      • Discretionary RAUM · unset to 10322446.0
        Feb 8, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · unset to 0.0
        Feb 8, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $0 to $10.3M
        Feb 8, 2020 to Mar 31, 2021
      • RAUM · unset to 10322446.0
        Feb 8, 2020 to Mar 31, 2021
      Signals
      4 dated events
      • Taylor Steven Grant (Director) no longer on Schedule A of N•••••••• A•••• M••••••••• L•• (listed 2022-03-16, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Alan Jonathan Fiebach (Director) appeared on Schedule A of N•••••••• A•••• M••••••••• L••
        Mar 16, 2022 · Control person joined · fact
      • Taylor Steven Grant (Director) appeared on Schedule A of N•••••••• A•••• M••••••••• L••
        Mar 16, 2022 · Control person joined · fact
      • N•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 7, 2020 · 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