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Former SEC-registered adviser

N•••• S••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 327189SEC 801-131166IAPD
Latest filing Aug 23, 2024
First filing on the tape Dec 8, 2023 · 3 filings
SEC status approved since Sep 20, 2024
RAUM
$54.7M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$4.7M gross assets
History
3 filings and snapshots on the tape
RAUM$54.7M as of Aug 23, 2024
Dec 8, 2023$53.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 23, 2024
Dec 8, 20230 then
Employees (5.A)4 as of Aug 23, 2024
Dec 8, 20234 then
Private funds1 as of Aug 23, 2024
Dec 8, 20231 then
Practice profile
derived from the filing of Aug 23, 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
$27.4MderivedRAUM 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
Custody
$4.7M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • 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$4.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$4.7M for 1 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
      N•••• S••••• F••• L•Hedge Fund$4.7M5Dec 8, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••••• D••••• A•••• · Chief Operating Officer ,Chief Compliance Officercontrol
        since 03/2023 · owns less than 5%
      • W•••• M••••••• J•••• · Chief Executive Officer, Presidentcontrol
        since 03/2023 · 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
      • Assets in custody · $3.3M to $4.7M
        Jan 5, 2024 to Aug 23, 2024
      • Discretionary RAUM · $53.3M to $54.7M
        Jan 5, 2024 to Aug 23, 2024
      • Pooled vehicle RAUM · $3.3M to $4.7M
        Jan 5, 2024 to Aug 23, 2024
      • RAUM · $53.3M to $54.7M
        Jan 5, 2024 to Aug 23, 2024
      Signals
      2 dated events
      • ••• Locked
        Feb 3, 2025 · Left the SEC roster · derived
      • ••• Locked
        Dec 8, 2023 · 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