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Former SEC-registered adviser

I••• A•••• M••••••••• A•

Former SEC-registered adviserZurich, CRD 309138SEC 801-118990IAPD
Latest filing Aug 4, 2020
First filing on the tape May 29, 2020 · 4 filings
RAUM
$37.0M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$37.0M as of Aug 4, 2020
May 29, 2020$37.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 4, 2020
May 29, 20200 then
Employees (5.A)4 as of Aug 4, 2020
May 29, 20204 then
Private funds: no history
Practice profile
derived from the filing of Aug 4, 2020; 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
$5.3MderivedRAUM 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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$30.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      H•••• I••• M••••• C••• S•Hedge Fund$4.9M5Oct 30, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• M••••••• · Trustee Of K•••• Trustcontrol
        since 06/2007 · owns less than 5%
      • H••••••• R•• · Trustee Of K•••• Trustcontrol
        since 06/2007 · owns less than 5%
      • T•••••• R••••••• T••••• · Ceo & Chairman Board Of Directorscontrol
        since 07/2006 · owns less than 5%
      • K••••••••• S•••••••• S••••• · Director
        since 02/2019 · owns 5% to 10%
      • O••••••• P•••••• J•••• · Director And Chief Legal Officer
        since 04/2018 · owns 5% to 10%
      Entity owners
      • K•••• F••••• T•••• · Trust
        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
      One filing, no change to show.
      Signals
      3 dated events
      • Roy H•••••• (Trustee Of Kaydo Trust) appeared on Schedule A of I••• A•••• M••••••••• A•
        Jul 21, 2020 · Control person joined · fact
      • M••••••• H•••••• (Trustee Of Kaydo Trust) appeared on Schedule A of I••• A•••• M••••••••• A•
        Jul 21, 2020 · Control person joined · fact
      • I••• A•••• M••••••••• A• filed its initial SEC registration (Form ADV)
        May 29, 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