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Former SEC-registered adviser

C••••••••• C••••••• L••

Former SEC-registered adviserCRD 308119SEC 801-119548IAPD
Latest filing Nov 27, 2023
First filing on the tape Mar 27, 2020 · 13 filings
RAUM
$11.3M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$11.3M as of Mar 8, 2023
Feb 9, 2021$5.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 8, 2023
Feb 9, 20210 then
Employees (5.A)1 as of Mar 8, 2023
Feb 9, 20212 then
Private funds: no history
RAUM -31% over the last fiscal yearIARs 1 to 0offices 1 to 0
Practice profile
derived from the filing of Nov 27, 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
$5.7MderivedRAUM 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
-31%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$11.3M100%
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
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••• V••••••• M•••••• · Managing Membercontrol
        since 04/2022 · owns 75% or more
      • D••••••• D••••• B•••••• · Chief Compliance Officer
        since 11/2022 · owns less than 5%
      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
      • Succession · true to false
        Mar 8, 2023 to Apr 25, 2023
      • Advisory employees · 2 to 1
        Nov 21, 2022 to Mar 8, 2023
      • BD registered reps · 1 to 0
        Nov 21, 2022 to Mar 8, 2023
      • Employees · 3 to 1
        Nov 21, 2022 to Mar 8, 2023
      • HQ city · BOSTON to unset
        Nov 21, 2022 to Mar 8, 2023
      • HQ state · MA to unset
        Nov 21, 2022 to Mar 8, 2023
      • State-registered IARs · 1 to 0
        Nov 21, 2022 to Mar 8, 2023
      • Other offices · 1 to 0
        Nov 21, 2022 to Mar 8, 2023
      • Discretionary RAUM · $16.5M to $11.3M
        Nov 21, 2022 to Mar 8, 2023
      • RAUM · $16.5M to $11.3M
        Nov 21, 2022 to Mar 8, 2023
      • Succession · false to true
        Nov 21, 2022 to Mar 8, 2023
      • BD registered reps · 0 to 1
        Feb 9, 2021 to Mar 30, 2022
      • Employees · 2 to 3
        Feb 9, 2021 to Mar 30, 2022
      • State-registered IARs · 0 to 1
        Feb 9, 2021 to Mar 30, 2022
      • Other offices · 0 to 1
        Feb 9, 2021 to Mar 30, 2022
      • Discretionary RAUM · $5.4M to $16.5M
        Feb 9, 2021 to Mar 30, 2022
      • RAUM · $5.4M to $16.5M
        Feb 9, 2021 to Mar 30, 2022
      • Discretionary RAUM · $4.5M to $5.4M
        Dec 23, 2020 to Feb 9, 2021
      • RAUM · $4.5M to $5.4M
        Dec 23, 2020 to Feb 9, 2021
      • Accounts · 0 to 2
        Oct 9, 2020 to Dec 23, 2020
      • Discretionary RAUM · $0 to $4.5M
        Oct 9, 2020 to Dec 23, 2020
      • RAUM · $0 to $4.5M
        Oct 9, 2020 to Dec 23, 2020
      • Advisory activities · 2 to 1
        Sep 2, 2020 to Oct 9, 2020
      • Related adviser · true to false
        Sep 2, 2020 to Oct 9, 2020
      • HQ city · unset to BOSTON
        Jul 14, 2020 to Aug 28, 2020
      • HQ state · unset to MA
        Jul 14, 2020 to Aug 28, 2020
      • Advisory employees · 1 to 2
        Mar 27, 2020 to Jul 14, 2020
      • Employees · 1 to 2
        Mar 27, 2020 to Jul 14, 2020
      Signals
      12 dated events
      • C••••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 8, 2023 · Succession (Item 4) · fact
      • Barbara Donna Dimaria (Chief Compliance Officer) appeared on Schedule A of C••••••••• C••••••• L••
        Nov 21, 2022 · Control person joined · fact
      • R•••• L••••••• (Ceo) no longer on Schedule A of C••••••••• C••••••• L•• (listed 2022-03-30, absent 2022-05-19)
        May 19, 2022 · Control person left · inference
      • M•••••• R••• K•••• (Managing Member) no longer on Schedule A of C••••••••• C••••••• L•• (listed 2022-03-30, absent 2022-05-19)
        May 19, 2022 · Control person left · inference
      • P••••• Yao (President) no longer on Schedule A of C••••••••• C••••••• L•• (listed 2022-03-30, absent 2022-05-19)
        May 19, 2022 · Control person left · inference
      • R•••• L••••••• (Ceo) appeared on Schedule A of C••••••••• C••••••• L••
        Oct 9, 2020 · Control person joined · fact
      • P••••• Yao (President) appeared on Schedule A of C••••••••• C••••••• L••
        Oct 9, 2020 · Control person joined · fact
      • M•••••• Vincent Lorusso (Portfolio Manager) appeared on Schedule A of C••••••••• C••••••• L••
        Sep 2, 2020 · Control person joined · fact
      • M R••• K•••• (Chief Compliance Officer) no longer on Schedule A of C••••••••• C••••••• L•• (listed 2020-08-28, absent 2020-09-02)
        Sep 2, 2020 · Control person left · inference
      • M R••• K•••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• C••••••• L••
        Jul 14, 2020 · Control person joined · fact
      • Todd Matthew Baskir (Chief Compliance Officer) no longer on Schedule A of C••••••••• C••••••• L•• (listed 2020-03-27, absent 2020-07-14)
        Jul 14, 2020 · Control person left · inference
      • C••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 27, 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