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H•••••• L••• C•••••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser3 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $142M of regulatory assets.

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

Last reported RAUM
$142M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-34%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 309751 · SEC 801-121741 · 3 filingsShow
CRD 309751SEC 801-121741First filing on the tape Jun 11, 2021, latest Mar 24, 2023IAPD
RAUM
$142M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$219M gross assets
History
3 filings and snapshots on the tape
RAUM$142M as of Mar 24, 2023
Mar 30, 2022$214M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2023
Mar 30, 20220 then
Employees (5.A)3 as of Mar 24, 2023
Mar 30, 20224 then
Private funds3 as of Mar 24, 2023
Mar 30, 20223 then
RAUM -34% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
$47.3MderivedRAUM 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
-34%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
$96.8M, 3 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$142M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$96.8M for 3 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• L••• M••••• F••• L•Hedge Fund$142M27Jul 22, 2020
      H•••••• L••• P••••••• L•Hedge Fund$63.2M21Jul 22, 2020
      H•••••• L••• F••• L••Hedge Fund$14.4M4Jul 22, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• M•••• D•••• · Chief Financial Officer / Chief Compliance Officercontrol
        since 11/2020 · owns less than 5%
      • P••••• J•••••• D• · Chief Investment Officer / Partnercontrol
        since 02/2020 · owns 75% or more
      • P••••• J•••••• D• · Managing Membercontrol
        since 02/2020 · owns 75% or more of H•••••• L••• C•••••• M••••••••• ••• L••
      Entity owners
      • H•••••• L••• C•••••• M••••••••• ••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H•••••• L••• 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 · 3 to 2
        Mar 30, 2022 to Mar 24, 2023
      • Assets in custody · $136M to $96.8M
        Mar 30, 2022 to Mar 24, 2023
      • Employees · 4 to 3
        Mar 30, 2022 to Mar 24, 2023
      • Discretionary RAUM · $214M to $142M
        Mar 30, 2022 to Mar 24, 2023
      • Pooled vehicle RAUM · $214M to $142M
        Mar 30, 2022 to Mar 24, 2023
      • RAUM · $214M to $142M
        Mar 30, 2022 to Mar 24, 2023
      • Private funds · 6 to 3
        Jun 11, 2021 to Mar 30, 2022
      • Advisory employees · 4 to 3
        Jun 11, 2021 to Mar 30, 2022
      • Assets in custody · $146M to $136M
        Jun 11, 2021 to Mar 30, 2022
      • Employees · 6 to 4
        Jun 11, 2021 to Mar 30, 2022
      • Discretionary RAUM · $221M to $214M
        Jun 11, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $221M to $214M
        Jun 11, 2021 to Mar 30, 2022
      • RAUM · $221M to $214M
        Jun 11, 2021 to Mar 30, 2022
      Signals
      2 dated events
      • ••• Locked
        Mar 30, 2022 · ria registration change · fact
      • ••• Locked
        Jun 11, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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