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Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $102M of regulatory assets.

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

Last reported RAUM
$102M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
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
What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 2.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 323132 · SEC 801-128492 · 3 filingsShow
CRD 323132SEC 801-128492First filing on the tape Jun 30, 2023, latest Mar 29, 2024SEC status approved since Jul 28, 2023IAPD
RAUM
$102M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$5.4M gross assets
History
3 filings and snapshots on the tape
RAUM$102M as of Mar 29, 2024
Jun 30, 2023$12.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Jun 30, 20230 then
Employees (5.A)2 as of Mar 29, 2024
Jun 30, 20232 then
Private funds1 as of Mar 29, 2024
Jun 30, 20232 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2024; 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
$51.1MderivedRAUM 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$102M100%
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 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• A•••• B• P•••••••• L•Hedge Fund$10.0M1Jun 30, 2023
      F••••••••• S••••• A••••••• A•••• L•• L•Hedge Fund$5.4M5Jun 30, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• A••••• · Manager & Chief Executive Officercontrol
        since 03/2022 · owns less than 5%
      • O••• D••••• E•••••• · Chief Compliance Officercontrol
        since 05/2023 · owns less than 5%
      • F•••••••• A••••• · Majority Membercontrol
        since 03/2022 · owns 75% or more of S••••••••• P••••••••• H••••••• L••
      Entity owners
      • S••••••••• P••••••••• H••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • S••••••••• P••••••••• C•••••• P••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 2 to 1
        Oct 27, 2023 to Mar 29, 2024
      • Pooled vehicle clients · 1 to 2
        Oct 27, 2023 to Mar 29, 2024
      • Discretionary RAUM · $103M to $102M
        Oct 27, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $3.0M to $102M
        Oct 27, 2023 to Mar 29, 2024
      • RAUM · $103M to $102M
        Oct 27, 2023 to Mar 29, 2024
      • Advisory activities · 1 to 2
        Jun 30, 2023 to Oct 27, 2023
      • Pooled vehicle clients · 2 to 1
        Jun 30, 2023 to Oct 27, 2023
      • Assets in custody · 10000000.0 to unset
        Jun 30, 2023 to Oct 27, 2023
      • Custody of client assets · true to false
        Jun 30, 2023 to Oct 27, 2023
      • HQ city · unset to NEW YORK
        Jun 30, 2023 to Oct 27, 2023
      • HQ state · unset to NY
        Jun 30, 2023 to Oct 27, 2023
      • Private funds · 2 to 1
        Jun 30, 2023 to Oct 27, 2023
      • Discretionary RAUM · $12.5M to $103M
        Jun 30, 2023 to Oct 27, 2023
      • Pooled vehicle RAUM · $12.5M to $3.0M
        Jun 30, 2023 to Oct 27, 2023
      • RAUM · $12.5M to $103M
        Jun 30, 2023 to Oct 27, 2023
      Signals
      2 dated events
      • ••• Locked
        May 2, 2025 · Left the SEC roster · derived
      • ••• Locked
        Jun 30, 2023 · 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